10toolkit For TPIMA

Toolkit for Appointment of Third Party Inspection and
Monitoring Agencies for projects (TPIMA)
Basic Services to Urban Poor (BSUP) and Integrated Slum and

Housing Development programme (IHSDP)
1
Contents
1 Background ..........................................................................................3
1.1 Need for Third Party Inspection and Monitoring Agency (TPIMA)
......4
2. Scope of Services and Deliverables ...................................................5
3. Financial Support ...………………………………………….………..10
4. Appointment of TPIMA by State Level Nodal Agency (SLNA)……11
5. Roles and Responsibilities …………………………………………..13
Annexure:
Annexure - A List of Empanelled Agencies……….................................18
Annexure - B Criteria for Empanelment ...........................................21-32
Annexure- C Model RFP including the Technical Bid Format,

Model Contract, Checklists for Quality Control…......35-95
2
Background :
Jawaharlal Nehru National Urban renewal Mission (JNNURM) aims at reform-
driven integrated and planned development of cities/towns with efficiency in
urban infrastructure and service delivery mechanisms, provision of basic
services including improved housing to urban poor, community participation
and accountability of Urban Local Bodies (ULBs) and Parastatal agencies
towards citizens. Its two components, Basic Services to the Urban Poor
(BSUP) and Integrated Housing and Slum Development Programme (IHSDP)
focus on improving the living conditions of the slum population. These
projects are aimed at integrated development of slums for providing shelter,
basic services and other related civic amenities to the urban poor. Both sub-
missions have a strong Housing component.
Mission Directorate in the Ministry of Housing & Urban Poverty

Alleviation (M0HUPA) has evolved a state level mechanism for Third Party
Inspection and Monitoring of projects sanctioned under JNNURM. This
process of inspection and monitoring will keep track of physical & financial
progress of projects throughout the project life cycle
The purpose of toolkit is to
• Enable the State Level Nodal Agencies (SLNA) to appoint Third Party
Inspection and Monitoring Agencies (TPIMA) for review and
monitoring of all JNNURM projects implemented by Urban Local
Bodies (ULBs), parastatls and other state agencies
3
• Bring standardization and consistency in the process, functioning and
scope of activities of external Third Party Monitoring Agencies engaged
for monitoring of JNNURM projects.
• Provide a structured report on the projects under JNNURM
1.1 Need for Third Party Inspection & Monitoring (TPIM) :
The Mission Directorate, MoHUPA is currently implementing a web enabled

Management Information System (MIS) for JNNURM Project Tracking and
Integrated Urban Poverty Monitoring System (IPOMS) The system is designed
to capture physical & financial progress of JNNURM projects. The information
is critical for release of subsequent installments for the projects. The
information provided by MIS can be cross verified with independent reports
from TPIMA to identify the constraints and issues in the project
implementation and enable a corrective action if necessary. TPIM would enable
achievement of
• Better Project Quality
• Cost Control
• Time Control
• Improved Planning & Budgeting
• Control over Fund Flow & Utilization
• Measuring Project Outputs
• Measuring Impact of JNNURM
JNNURM projects are approved by Central sanctioning & Monitoring

Committee at the Centre after Detailed Project Reports (DPRs) prepared by
4
ULBs are approved by State Level Steering Committee (SLSC) and appraised
by specialist agencies of the Central Government. At each stage , there may be
suggestions and recommendations and TPIM would ensure that these points
are incorporated in the implementation of the projects. TPIM would ensure
periodic feedback to all key stakeholders.
It is, therefore, imperative that each project is covered by TPIM and periodic
feedback is given to all stakeholders at ULB/Town/City, State & Central level.
2. Scope of Services and Deliverables
The TPIM agency would undertake monitoring works pertaining to:
a. Pre-construction stage
• Examination of project documentation with respect to sanctioned

covenants
• Report on targeted beneficiaries of the scheme (whether socio economic

surveys and biometric identification done, stake holders consultation,
process etc.)
• Review of Land requirement/ availability & other clearances to begin

construction
• Examination of bid documentation & bid process
• Review of Project Implementation Plan and procurement process
• Review of Site preparation
• Review of Project Management Mechanisms/ Structures (e.g. PERT/

CPM Charts)
5
• Review of probability of Cost & Time overruns during pre-construction
stage
• Report on targeted beneficiaries of the scheme (whether socio-economic

surveys and biometric identification done, stake holder
consultation/process etc.
b. Construction stage
• Report on compliance to statutory requirements
• Report on safety and Health aspects
• Report on convergence of scheme with education, health and social

security
• Report on Beneficiary participation in the project
• Report on Physical Progress of the project
• Report on Financial progress & fund utilization
• Report on Quality Assurance systems and Project quality
• Report on Social Infrastructure and aesthetics
• Report on variations with respect to sanctioned covenants
• Report on cost variations and time overruns
• Report on remedial measures to improve physical & financial progress

and quality of the project
• Report on progress of resettlement and rehabilitation, if any
• Report on court cases/ Litigation
6
c. Commissioning, trial run and testing stage
• Report on Assets created
• Reports on completion of projects
• Requirement of Operation & maintenance (O&M)
• System of O&M
• Capacity of staff of ULB
• Training requirements of staff
d. Post construction Stage
• Report on functionality & usage
• Report on O&M of assets created including common amenities
• Report on social and environment impact analysis
• Report on user/Beneficiary satisfaction
• Report on capacity created
• Report on overall performance and sustainability of the assets created
TPIMA would function till one year from the filing of project completion
report and give a final report on the overall performance of the project.
In sum, the agency will undertake:
a. Desk review of documents and periodical site visits:
7
i. Ensuring all project documents, including outcomes, outputs,
specifications, estimates of quantities, work packages, project
implementation plan - including milestones, periodic progress indicators,
oversights etc., on-site management systems, such as rerouting of
transient services, temporary connections, worker accommodation,
labour insurance, procurement & storage of materials, inventory
management; delivery, hand-over, exit and financial closure plans are in
place
ii. Site visits will be organized at different stages as indicated by the

implementing agencies as ‘milestones’ in their work plan, which may
consist of intermediate stages of development of work or contracting
packages. Indicative milestones, such as foundations, superstructure,
fenestration, services, finishes and commissioning may be taken as
comparatives from the assessment side to help translate progress reports
to non-technical personnel at reporting sites.
b. Filing and uploading of all inspection reports in the prescribed online

monitoring system of the Mission Directorate as well as by sending
reports to SLNA and Mission Directorate. The reports would be sent at a
periodic interval (monthly and quarterly) during construction stage and at
least one report as regards other stages;
c. Capture, wherever possible, moderated, and structured perceptions of the

beneficiaries on various aspects of project implementation including
communicating project rationale, strategy, outcomes, results, rights and
responsibilities of all stakeholders;
d. Estimate the degree of beneficiary buy-in as regards the project(s);
e. To capture qualitative feedback in narrative and in separate documents;
8
f. To report the progress with respect to implementation as per the
appropriate stage of the project under development;
An appointed TPIM agency would essentially report in the following structure:
(i) Baselines of the project, including entire process trail – which would ensure
that all necessary processes of clearance, approvals - administrative,
technical and financial sanctions are in place. At the desk review report
generated at the initiation milestone, this section of the report would
document the process flows and benchmarks that are adopted by the
concerned level of implementation.
(ii) Outcomes of the project (at initiation milestone)/ the specific milestone –
expected state of physical and financial progress.
(iii) Observed physical and financial progress including execution process – this
will require to be done from two ends (i) supply end, i.e. SLNA and (ii) level
of implementing agency
(iv) Compliance and exception reports in process trail, technical and qualitative
standards, financial propriety and integrity. In case of any processes being
certified, the monitoring report must clearly mention this in case of the
concerned implementing agency to the party to be reported to, i.e. Project
Implementation Agency, SLNA and Mission Directorate.
(v) Recommendations as to how to reduce exceptions, including if milestones

need to be re-phased, or any process that may need to be streamlined.
(vi) Follow-up action of the report, which would be ascertained in the next
report.
9
3. Financial Support
The following maximum charges* are prescribed for being paid to the Third
Party empanelled by the State Level Nodal Agency on a ‘per project’ basis:
Desk review of all project documents Rs. 2,00,000/- (Rupees Two Lakh)
On-site visits Rs. 50,000/- (Rupees Fifty
(Maximum 14 visits during a project Thousand Only) (per visit)
implementation life-cycle for a BSUP project)
(Maximum 12 visits during a project
implementation life-cycle for a IHSDP
project)
Maximum possible financial Rs. 9,00,000/- (Rupees Nine Lakh
implications for BSUP project** Only)
Maximum possible financial Rs. 8,00,000/- (Rupees Eight Lakh
implications for IHSDP project** Only)
* In case lower rates are obtained through RFPs, the same will apply as terms of payment
** Service tax, education cess and higher education cess etc. will be extra, chargeable on
actual basis; Income tax will be deducted at source in accordance with applicable rules of
the Income Tax Act, 1961 and the Finance Bill in effect at the time of payment
The overall cost of monitoring of the project would not exceed 0.5% of the
cost of components for which Central Assistance has been provided in cases of
projects supported under the sub-Mission of Basic Services to the Urban Poor
and 0.25% of the cost of components for which Central Assistance has been
provided in cases of projects supported under the Integrated Housing and
Slum Development Programme.
10
Costs of material and sample tests would be chargeable on actual over and
above the fees payable to the empanelled agency, and directly payable to the
party performing the tests. The costs for this, if any, would be borne out of the
State/ ULB share.
The TPIMA will raise quarterly or half yearly bills and the payments to TPIMA
would be made by SLNA. TPIMA will start review with site visits for the
projects where tenders have been invited or where the construction has
commenced after familarising with the documentation.
The expenditure to be reimbursed by the Mission Directorate would be subject

to submission by SLNA of the following documents
• Copy of the Contract
• Copy of invoice raised
• Evidence of the payment made to TPIM agency by the SLNA
4. Appointment of TPIMA by State Level Nodal Agency (SLNA)
The Mission Directorate has empanelled Agencies to play the role of TPIMA
under JNNURM. A National level Expression of Interest (EOI) was invited
from the reputed concerns and applicants were short listed based on technical
& experience profile. A Consultancy Evaluation Committee (CEC) was
constituted by Mission Directorate for finalizing the list of empanelled
agencies. A subcommittee of CEC was formed to evaluate these EOIs. The
subcommittee consisting of officers of the Ministry of HUPA and officials
from reputed organizations such as CPWD and TCPO scrutinized the EOIs in
detail and analysed the presentations made by the eligible parties. Based on
11
report from the subcommittee, CEC recommended a list of consultants based
on the technical criteria. The list is given at Annexure ‘A’
The list, by no means, is binding on State/UTs and SLNAs may appoint the
agencies outside this list by adopting transparent competitive bidding process.
Should SLNAs choose to qualify agencies outside this empanelled list, the
recommended criteria , as enumerated in the Expression of Interest floated by
Ministry of Housing & Urban Poverty Alleviation , is given at Annexure ‘B’.
Part ‘B’ of the said annexure lists the Personnel and Material assets
requirements for such qualification.
Selection Process:
.Selection of TPIMA is to be done by the concerned SLNA. SLNA will need
to issue RFP/RFQ to pre-qualified Agencies including empanelled Agencies.
After undertaking the due selection process as per rules and prior to entering
contractual agreement with the short listed agency, SLNAs are required to
submit the proposal for concurrence to Mission Directorate, MoHUPA. In
seeking such concurrence, a certificate to the effect that the due and
transparent bidding has been followed as per guidelines issued by Government
of India in this regard, should be forwarded to Mission Directorate, MoHUPA.
SLNA shall ensure that:

1. TPIMA deploys optimum number of experts as per the needs of the project.
2. Deployed experts have experience of similar kind of projects and expertise
in the concerned sectors
3. No Conflict of interest prevails in the engagement.
4. The Terms of Reference (TOR) are as per the prescribed Scope &
Deliverables.
12
Appointment of Agencies should be done in accordance with the Bands
(Kindly refer to Annexure-‘B’) to which they are eligible. An agency
qualified for higher band is eligible to execute work in respect of lower
bands also.
Conflict of interest for a TPIMA is defined as:

- Any agency involved as a consultant in project preparation,
supervision or implementation work in any of the JNNURM projects
applying for TPIMA is a conflict of interest in the particular
project/City/State (as the case may be)
- The team members of TPIMA should not have been employed (as an
employee) by any City or State level government agency in the 5 years
preceding this contract in the particular State.
- Any agency black listed or debarred would not be eligible for
appointment of TPIMA.
The Model RFP including the Technical Bid Format, Model Contract,
Checklists for Quality Control etc. is given in Annexure ‘C’ of this toolkit.
SLNAs are advised to follow the given model RFP without modifying the
stated objectives, scope and deliverables. In case any such modifications are
effected, reasons thereto may be given and approval may be obtained from
prior to the signing of contract with the agencies, at the time of submitting the
proposals to CSMC for concurrence.
5. Roles and Responsibilities

A number of institutions and sub-units within these institutions are involved in the
implementation and monitoring of JNNURM projects. The role of these sub-
units vis-à-vis the TPIMA is described in this section.
13
A. Central Level – Mission Directorate MoHUPA
• Provide concurrence on the engagement of an TPIMA selected by the

concerned SLNA
• Review the reports periodically submitted by TPIMA
• Monitor progress of projects on basis of self-reporting by the SLNA/ULB
and independent reporting by the TPIMA.
• If necessary, seek clarification from TPIMA, with information to the SLNA.
• Advise the State on quality of reports submitted by the TPIMA. If
performance of TPIMA is considered unsatisfactory, the Mission Directorate
may advice the SLNA to take necessary corrective action.
• Provide financial support and reimburse the expenditure towards
appointment of TPIMA as per guidelines, at half yearly periodicity.
B. State/UT Level
(i) State Level Steering Committee (SLSC)

• Approve the selection of TPIMA by the SLNA and recommend the
proposal to Mission Directorate for concurrence.
• Take note of physical and financial progress of JNNURM projects and other
issues identified by the TPIMA.
(ii) Programme Management Unit(PMU) / SLNA
It is envisaged that a Program Management Unit (PMU) housed in each SLNA will
provide strategic coordination and support for all JNNURM related reforms,
projects, capacity building initiatives and other activities in the State. The PMU
within the SLNA will play the key role of coordination and overseeing of the
TPIMA on behalf of the SLNA in following areas
14
• Appoint a suitable agency with the required experience and expertise as the
TPIMA, as per process suggested in this toolkit, ensuring no major deviation in
the scope of services and ensuring no conflict of interest in execution of
services.
• Communicate through SLNA to all Local Bodies/ Project Implementation and
Execution agencies in the state for extension of cooperation, sharing of
information, organizing field visits and all necessary assistance to the TPIMAs
for conduct of periodical review and monitoring.
• Ensure the performance of TPIMA is as envisaged in the contract, and that
the reports are submitted regularly and filed
• Review and examine the reports of the TPIMA, scrutinize issues highlighted
by the TPIMA and initiate corrective actions where necessary with concerned
ULB/Implementing Agency.
• Ensure that the SLSC and Mission Directorate have access to all review and
monitoring reports, in a timely manner.
• Report to the SLSC on progress in implementation of projects, and
highlighting project implementation issues and constraints that need
intervention by the SLSC.
• Make periodic payments to the TPIMA for claims of reimbursement from the
Mission Directorate, MoHUPA
C. City/Town Level
(i) Project Implementation Agency/Unit (PIA/PIU) or ULB
15
It is envisaged that a Project Implementation Unit (PIU) housed in the ULBs of
the Mission Cities, will take the lead charge with respect to implementation of all
JNNURM projects and reforms in the city. The PIU will play a key role in
facilitating the work of the TPIMA and coordinate between the TPIMA and the
Project Executing Agency (PEA).
• Coordinate with the PEA, that may either be a Department of the ULB, a
parastatal agency or any other agency.
• Schedule the visits of the TPIMA across different projects in the city
• Ensure that TPIMAs have access to the required documents, project sites, key
officials for meetings and discussions and other support required for
performance of their role
• Ensure that TPIMAs file their reports in a timely manner.
• Coordinate with the PEA to ensure that progress of the project is regularly
updated on the IPOMS.
• Examine the reports of the TPIMA and the issues highlighted therein.
• On the basis of TPIMA’s reports, take up coordination with various agencies
for resolving bottlenecks in implementation.
• Coordinate with the PMU in the SLNA and Mission Directorate in the
MoHUPA as necessary, to facilitate smooth and effective functioning of the
TPIMA
(ii) Project Executing Agency (PEA)

Project Executing Agency (PEA) for the purposes of this toolkit, is defined as
the agency or organizational sub-unit that is directly responsible for executing
the project. PEA will be the department or unit directly responsible for
managing all technical, procurement, commercial and physical aspects of the
project.
16
• TPIMA is expected to have intensive interactions with the PEA.
• PEA will need to provide all necessary documents, provide access to project
sites, provide time of its senior personnel and engineers, and enable
interactions with consultants and contractors, and all other support required for
TPIMA to carry out its mandate.
• Maintaining details of all project related documentation during the life cycle of
the project at the project site office / nearest office is the responsibility of the
PEA.
17
Annexure ‘A’
List of Empanelled Agencies
18
S.No Name of the Concern Band
1 Mukesh & Associates V Shri. D.Mukesh Tel: 9818400396(mbl)
5/3 Raghavan Street Tel:0427- 2330395/2330568/2331109
Swarnapuri Fax:0427-2330209
Salem – 636 004 e.mailmukeshassociates@vsn..com
www.mukeshassociates.com
2 Shrikhande Consultants IV Shri R.N.Srikande
Pvt. Ltd. Joint Managing Director
33-35 Shanti Centre Tel: 022-27891444/27892763
Plot No. 8 Sector 17 Fax: 022-1249 Email: pmc@bom5.vsnl.net.in
Navi Mumbai – 400 075. www.scplasia.com
3 Span Consultants Pvt. Ltd. V Shri Abhijit Ghosh Executive Director
SPAN House 92-C Tel: 01129955645-53 Fax: 011-29955643
Gurudwara Road Madangir Email:info@spanconsult.com
New Delhi – 110 062 www.spanconsult.com
4 Aarvee Associates V Dr. B. Raghabendra , Deputy General Manager
Architects Engineers & Tel: 040-23737633 Fax; 040-23736277
Consultants (P) Ltd. Email: aarvee@aarvee.net www.aarvee.net
Ravula Residency Sri
Nagar Colony Hyderabad –
500 082
5 Intercontinental V Shri Prashant Director Tel:011-
Consultants and /26523036/26568024
Technocrats Pvt. Ltd Fax:-011-26855252 Email: info@ictonline.com
A-8, Green Park. www.ictonline.com
New Delhi-110 016
6 National Consultancy for IV Shri S.M. Sbhani,MB Tel: 040-23568466 Fax;
Planning & Engineering 040-23568473 Email
9-4-131/17/A Tombs Road ncpe_consult@rediffmail.com
Akbar Bagh Toli Chowki www.ncpeindia.com
Hyderabad – 500 008.
7 Rites Ltd V Shri Y.K. Sharma , General Manager,
(A Govt. of India Tel: 0124-2571666 Fax: 0124-2571660
Undertaking) Rites Email: info@rites.com www.rites.com
Bhawan, No.1, Sector 29,
Gurgaon Haryana.
8 BLG Construction Services IV Mr. Saurabh, MD 9314508760 Tel:
Pvt. Ltd Chopasani 02913209393 0291-2701622 email:vaibhav@l
Housing Board, lgconstructionservices.com
Jodhpur – 342 008. www.blgconstructionservice.com
9 Shristi Urban Infrastructure IV Shri V.K. Soni Principal Consultant
Development Ltd. SUIDL Tel: 011-29234815 Fax:011-29230987
in association with SREI www.Shristicorp.com
Infrastructure Finance Ltd
F-13, Kailash Colony, New
19
Delhi – 110 048
10 DHV India Pvt. Ltd V Dr. M.S.Prakash,
B-1/1-1 1st Floor Managing Director
Mohan Co-operative Tel: 011-40539303
Industrial Estate Mathura Fax:011- 40539300
Road New Delhi – 110 044 dhvindia@airtelbroadbaband.in.
11 Infrastructure Professional V Shri Amit Sardana Director Urban Management

Enterprises Pvt. Ltd Tel: 011-2656-08/13,26962636 Fax:011-
C-2 Green Park Extention, 26969498
New Delhi – 110 016. Email: asardara@ipcglobal.com
www.ipeglobal.com
12 SGS India Pvt. Ltd V Tel: 022-25798421
48 Adi Shankaracharya Fax; 022-25782412
Marg Sgs-india@sgs.com
Vikhroli (W) www.sgs.com
Mumbai – 400 083.
13 Project Engineering & IV Shri P.Padma Kumar
management Services Principal Consultant
(PEMS) – Kitco 0471-2720870
Consortium (PEMS as lead 0471-2720873
partner) info@pemsindia.com
A7, T.C. 9/241(4), www.pemsindia.com
Tennis Club Enclave
P.O. Kowdiar
Thiruvananthapuram
Kerala - 695 003.
14 Concrete Structural II Shri R.K.Jaigopal
Forensic Consultants CEO
consortium 080-23563287
46, 2nd Floor 080-23560664
4th Cross Sampige Road csfc@hotmail.com
Malleswaram csfc@rediffmail.com
Bangalore – 560 003
15 DMG Consulting P Ltd IV Shri Rakesh Kumar Singh
A-81, Sec-65, Noida Manager Admn.
UP 201301 Tel: 0120-4274192
Fax: 0120-4275492
dmg@bolnet.in
dmgconsultanting.org
16 Everon Projects I Tel: 0172-4643047
Consultants Ltd Fax:
S.C.O. 343 Sector 9 0172-4644382
Panchkula Haryana email: epc1343_chd@yahoo.co.in
20
Annexure ‘B’
Criteria for empanelment
(Expression of Interest for technical pre qualification)
21
Ministry of Housing and Urban Poverty Alleviation
Government of India
Nirman Bhawan, New Delhi 110 011
Office of the Joint Secretary & Mission Director (JnNURM)
*******
Nirman Bhawan, New Delhi
Subject: Expression of Interest inviting agencies for empanelment for conducting

third party monitoring of implementation of projects under JnNURM: sub-
Mission on Basic Services to the Urban Poor an Integrated Housing and
Slum Development Programme
Government of India has launched the Jawaharlal Nehru National Urban Renewal
Mission, hereafter referred to as JNNURM, as a reform driven, fast track programme to
ensure planned development of identified cities with focus on efficiency in urban
infrastructure/ service delivery mechanisms, and through community participation and
enhanced accountability of Urban Local Bodies (ULBs) / parastatal agencies towards
citizens.
JNNURM comprises two broad segments, namely (i) the Sub-Mission on Urban
Infrastructure and Governance and (ii) the Sub-Missions on Basic Services to the Urban
Poor (BSUP) covering 63 identified cities comprising mega, metro, capital and cities of
heritage and historical importance and Integrated Housing and Slum Development
Programme (IHSDP) covering other cities/Towns. The Ministry of Housing and Urban
Poverty Alleviation, hereafter referred to as M(HUPA), is the nodal Ministry for sub-
missions of Basic Services to the Urban Poor (BSUP) and Integrated Housing and Slum
Development Programme (IHSDP) and has a Mission Directorate (JNNURM) to undertake
various tasks related to JNNURM.
The Basic Services to the Urban Poor (BSUP) and Integrated Housing and Slum
Development Programme (IHSDP) focus on improving the living conditions of the slum
population. These projects are aimed at integrated development of slums for providing
shelter, basic services and other related civic amenities to the urban poor. Both sub-missions
have a strong Housing component. M(HUPA) approves the projects under BSUP and
IHSDP for providing Central assistance based on Detailed Project Reports(DPRs) prepared
by State Governments/Union Territories. This is based on review carried by the Appraisal
Agencies. A number of projects have been approved/sanctioned till to date and the first
installment of Central share in the form of Additional Central Assistance, hereafter referred
as ACA, has already been released by Department of Expenditure, Ministry of Finance.
Details of the programme and list of projects approved can be seen at the website
www.jnnurm.nic.in
The Ministry of HUPA hereby invites Expression of Interest (EOI) from
established firms who have proven experience in undertaking Third Party Inspection and
Monitoring of Housing & Infrastructure projects for empanelment as Third Party Inspection
22
and Monitoring Agencies (TPIMA) for projects approved under sub-missions of BSUP and
IHSDP.
Eligible parties:
Category ‘A’ ‘B’

Incorporation Public Sector, with complete Private Sector, including Sole
liabilities to Central or any State Proprietorship, Full liability
Government within the Union partnership, limited liability
of India partnership entities, special
purpose vehicle entities,
cooperative sector entities,
registered within the Union of
India
Typical examples a. Central/ State public sector a. Entities registered under
undertakings registered Companies Act including
under Companies Act Section 25 companies not
b. Autonomous research and included under Category ‘A’
development institutes with b. Entities registered under
complete liability of local Societies Registration Act
State or Central (Central or any similar Act
Governments of a State Government)
c. Academic institutions with including non-
complete liability of local Governmental
State or Central organizations, professional
Governments, who are societies, other societies
eligible for professional registered and statutorily
practice as per UGC/ acknowledged as ‘not-for-
MoHRD norms profit’ not included under
Category ‘A’
c. Autonomous research and
development institutes not
included under Category ‘A’
d. Academic institutions not
included under Category ‘A’
Experience profile: i. Planning, design, development, detailing and execution of
Three or more of the construction projects over Rs. 50 crore worth (single instance),
specialization areas not including landscaping, interiors or HVAC
mentioned herein ii Specialised services such as pre-emptive environmental/ social
impact assessment of large housing and/or township projects
iii. Audit of design, construction and project management of
construction projects as mentioned above
iv. Financial management and advisory services to infrastructure/
housing projects
v. PMC and on-site monitoring of infrastructure/ housing
projects
vi. Monitoring and evaluation of poverty alleviation projects
Net turnover Any, selection to be done by State Government Agency based on
23
value of work assigned
Experience Five years Seven Years
Note on consortium entities:
In certain cases, two or more entities from either category can apply together for empanelment as
a single entity. In such consortia, a ‘primary partner’ shall be nominated, and the incorporation
of the same shall apply to the entire consortium, irrespective of whether other partners are
classified under Category ‘A’ or ‘B’ for all purposes of payment and taxation (deductions at
source), and the payment will be made to an account pre-specified account operated by the
primary partner.
Terms of Empanelment:
The Government of India, would empanel, based on the responses received to this
solicitation of Expression of Interest a number of agencies for third party inspection and
monitoring for project supported under JnNURM. This list of agencies would be forwarded
to the concerned State Governments, who would through an agency designated as the State
Level Nodal Agency, empanel agencies from this forwarded list, based on Request for
Quotations (Financial bids) called from them.
Prospective applicants are requested to make note of the nature of remuneration
available for the projects stated further below.
The State Level Nodal Agency would follow the following conditions as regards selection of
an agency empanelled through this solicitation of Expression of Interest:
i. An agency would be empanelled for one project at a time, for a period of one year.
During this period, the agency can bid (provide RfQ/ bid against open tender) for more
projects. However, there would be no special consideration or preferential selection for
subsequent projects.
ii. After each year, the performance of the empanelled agency would be compared vis-à-vis
the overall performance of the project, and if found appropriate, the engagement may be
extended for the subsequent year or till the earliest stipulated ending period of the
project, whichever is earlier.
iii. In case the performance of the empanelled agency is unsatisfactory (see part VII of this
Terms of Reference), the task would be awarded to another agency with the same terms
and conditions as applicable to the outgoing agency. However, the replacement agency
can be nominated from the L2 bids and not necessarily through Open bid/ RfQ again.
All outstanding payments to the outgoing agencies for work yet to be commenced would
automatically transfer to the new agency, while work that has been completed
satisfactorily by the outgoing party would be credited to the same. Under no
circumstance would the State pay twice for the same work.
Deliverables and scope of work:
The empanelled agency would undertake monitoring works pertaining to:

24
The agency will undertake:

i. Ensuring all project documents, including outcomes, outputs, specifications,
estimates of quantities, work packages, project implementation plan - including
milestones, periodic progress indicators, oversights etc., on-site management
systems, such as rerouting of transient services, temporary connections, worker
accommodation, labour insurance, procurement & storage of materials, inventory
management; delivery, hand-over, exit and financial closure plans are in place
ii. Site visits will be organized at different stages as indicated by the implementing
agencies as ‘milestones’ in their work plan, which may consist of intermediate stages
of development of work or contracting packages. Indicative milestones, such as
foundations, superstructure, fenestration, services, finishes and commissioning may
be taken as comparatives from the assessment side to help translate progress reports
b. Filing and uploading of all inspection reports in the prescribed online monitoring
system of the Mission Directorate as well as by sending reports to SLNA and
Mission Directorate;
c. Capture, wherever possible, moderated, and structured perceptions of the beneficiaries
on various aspects of project implementation including communicating project rationale,
strategy, outcomes, results, rights and responsibilities of all stakeholders;
f. To report the progress with respect to implementation as per the appropriate stage of
the project under development;
Remuneration for conducting Third Party Inspection and Monitoring Activities

under JnNURM supported projects
The following maximum charges* are prescribed for being paid to the Third Party
empanelled by the State Level Nodal Agency on a ‘per project’ basis:
Desk review of all project documents Rs. 2,00,000/- (Rupees Two Lakh)
On-site visits Rs. 50,000/- (Rupees Fifty Thousand
(Maximum 14 visits during a project implementation Only)
life-cycle for a BSUP project)
(Maximum 12 visits during a project implementation
life-cycle for a IHSDP project)
Maximum possible financial implications for Rs. 9,00,000/- (Rupees Nine Lakh Only)
BSUP project**
Maximum possible financial implications for Rs. 8,00,000/- (Rupees Eight Lakh Only)
IHSDP project**
25
* In case lower rates are obtained through RfQs, the same will apply as terms of payment
** Service tax, education cess and higher education cess etc. will be extra, chargeable on actual basis; Income
tax will be deducted at source in accordance with applicable rules of the Income Tax Act, 1961 and the
Finance Bill in effect at the time of payment
The overall cost of monitoring of the project would not exceed 0.5% of the cost of
components for which Central Assistance has been provided in cases of projects supported
under the sub-Mission of Basic Services to the Urban Poor and 0.25% of the cost of
components for which Central Assistance has been provided in cases of projects supported
under the Integrated Housing and Slum Development Programme.
Costs of material and sample tests would be chargeable on actuals over and above the fees
payable to the empanelled agency, and directly payable to the party performing the tests. The
costs for this, if any, would be borne out of the State/ ULB share.
An empanelled agency would essentially report in the following structure:

(i) Baselines of the project, including entire process trail – which would ensure that all
necessary processes of clearance, approvals - administrative, technical and financial
sanctions are in place. At the desk review report generated at the initiation milestone,
this section of the report would document the process flows and benchmarks that are
adopted by the concerned level of implementation.
(ii) Outcomes of the project (at initiation milestone)/ the specific milestone – expected state
of physical and financial progress.
(iii) Observed physical and financial progress including execution process – this will require
to be done from two ends (i) supply end, i.e. SLNA and (ii) level of implementing agency
(iv) Compliance and exception reports in process trail, technical and qualitative standards,
financial propriety and integrity. In case of any processes being certified, the monitoring
report must clearly mention this in case of the concerned implementing agency to the
party to be reported to, i.e. Project Implementation Agency, SLNA and Mission
Directorate.
(v) Recommendations as to how to reduce exceptions, including if milestones need to be re-
phased, or any process that may need to be streamlined.
(vi) Follow-up action of the report, which would be ascertained in the next report.
Pre-requisite documentation:
All applicants, irrespective of whether or not applying uniquely or as part of a consortium,

would submit the following:
a. Covering letter stating intent and accurately referencing all contents of the envelope
b. Certificate of incorporation (copy of registration certificate under Companies Act,
Societies Registration Act or Memorandum of Agreement between Partners in case of
limited/ full liability partnership/ copy of Act of State/ Union Parliament in case of
Assembly/ Parliamentary entities) of all entities applying, certified by an officer of the
rank of Sub-divisional Magistrate or higher
26
c. Taxation particulars – PAN & STC numbers, copies of all returns filed for the last three
financial years, and advance service tax challan receipt for current financial year, if
already paid
d. Audited financial statements for the last three financial years including for current year, if
available, should also be supplied.
e. In case any applicant is not required to provide audited statements for taxation purposes,
it may cite the nature of exemption and provide, in lieu of audited statements, signed
balance sheets supplemented with a statement of accounts on 31 March of last three
financial years.
f. Demand draft of Rs. 5,000/- payable to ______________as non-refundable tender
fee for applications. In case of successful applicants, this amount would be
adjusted against payments made to the agency.
g. Undertaking of Escrow balance in case of work collateral (in case of advances)/
performance guarantee (upon award of work)
Work collaterals:
In case any amount is advanced to the empanelled agency prior to the delivery of work, a
collateral equivalent to 133% of any amounts advanced to the agency prior to the delivery of
work. This may be given by way of a Bank Guarantee or a tripartite Escrow Agreement
between the client, i.e. the concerned agency of a State Government, the empanelled agency/
consortium and a bank wherein the consortium or its primary partner maintains the operating
account.
Performance bond/ guarantee:
Even if no amount is advanced to the empanelled agency, the same will maintain a performance
bond/ guarantee by way of an escrow agreement equivalent to 25% of the award value of work.
h. Technical bid: The technical bid would briefly state:
i. Competence of the applicant with respect to the working areas as stated in the
desired experience profile, along with documented evidence of having worked in the
said fields. This may include a completion certificate/ citation provided by the client,
or the technical/ financial closure certificate issued by the project auditors
ii. Profiles of all persons proposed to be included as part of the services in a
standardized CV format
iii. Technical/ material assets of the applicant substantiating abilities to perform the
work as illustrated in the deliverables and scope of works
iv. Proposed methodology and standard processes pertaining to works as illustrated in
the deliverables and scope of works
i. It is reiterated here that it is not advisable to provide financial bids at this time. This will
be solicited separately by the State Level Nodal Agency at the time of calling for a
Request for Quotation. The range of turnover for a company to be eligible to apply for a
certain project may be determined by the State Level Nodal Agency. However, for the
purposes of classification and grouping, the following categories are prescribed:
Band I Turnover less than INR 25 lakh per annum
27
(Eligible for work worth Rs. 15 lakh at any point of time)
Band II Turnover equal to or more than INR 25 lakh per annum but less than
INR 50 lakh per annum
Band III Turnover equal to or more than INR 50 lakh per annum but less than
INR 100 lakh per annum
Band IV Turnover equal to or more than INR 100 lakh per annum but less
than INR 500 lakh per annum
Band V Turnover equal to or more than INR 500 lakh per annum
Applicants may indicate the band for which they qualify at the time of submission of EoI.
After empanelment, at the time of making financial bid against RfQ to the SLNA, it would
be advisable to specify the period for which the quotations remain valid.
Part B (Personnel & Assets requirement)
1.0 Personnel Requirements
28
Any TPIM agency must include following personnel in a project team. Size
of project team will vary depending upon the project size.
Sl. DETAIL DETAIL & NUMBER (MINIMUM) OF

No. OF PERSONNELS TO BE DEPLOYED
GROUPS
1 Band – I Senior Building Engineer – 1 No.
Building Engineer (Civil) – 1 No.
2 Band –II Senior Building Engineer – 1 No.
Building Engineer (1 No. Civil & 1No. Electrical)
3 Band – III Senior Building Engineer – 1 No.
Building Engineer (1 No. Civil & 1 No. Electrical)
4 Band – IV Project Manager – 1 No.
Senior Building Engineer – 1 No.
5 Band – V Project Manager – 1 No.
Senior Building Engineer – 1 No.
(1) PROJECT MANAGER :
Project manager should at least be a Graduate in Civil Engineering with not

less than 20 years experience. He would lead the multidisciplinary team of
professionals engaged to carryout the job of third party inspection and
monitoring of housing and infrastructure projects and, therefore, should have
a clear perception of the manner in which a quality service can be delivered
within the available time. He should be a professional of stature who could
command the respect of the team. Post – Graduate Qualification in
Structural Engineering will be an added advantage.
(2) SENIOR BUILDING ENGINEER :
29
Senior Building Engineer should either be a Graduate in Civil
Engineering with a minimum 12 years of experience or a Diploma in Civil
Engineering with a minimum 15 years experience. He should have handled
in similar capacity at least one project of similar nature. He shall be
responsible for all the aspects related to the quality of the work and shall
guide, supervise and monitor the work of the other experts in his team.
The candidate should have a thorough knowledge of latest specifications

pertaining to building works and road works and other related publications
according to which the works are required to be carried out and the tests to
be conducted to ensure a good quality work. Higher qualification and
experience will be an added advantage. Upper age limit shall be 55 years.
(3) BUILDING ENGINEER:
(i) Civil :
He should either be a Graduate in Civil Engineering with a

minimum of 5 years of professional engineering experience and at least 3
years experience in similar capacity for building or a diploma in Civil
Engineering with a minimum of 7 years of professional engineering
experience and at least 5 years experience in similar capacity for building.
He should also have exposure to quality assurance programmes in new
construction, maintenance/rehabilitation projects using modern technology.
He shall be required at site as directed by the Department and shall inspect
and find out deficiencies in the building and find out remedial suitable
measures. He must be familiar with modern methods of construction of
building, design standards, technical specification and standard quality
control /assurance procedure for construction of different components of
30
building. Higher qualification and experience shall be an added advantage.
Upper age limit shall be 45 years.
(ii) Electrical :
He should either be a Graduate in Electrical Engineering with a Minimum of 5

years of professional experience and at least 3 years experience in similar capacity
for building or diploma in Electrical Engineering with a minimum of 7 years of
professional engineering experience and at least 5 years experience in similar
capacity for building. He should also have exposure to quality assurance
programmes in new construction, maintenance/rehabilitation projects using
modern technology. He shall be required at site as directed by the Department and
shall inspect and find out deficiencies in the building and find out remedial/suitable
measures. He must be familiar with modern methods of Electro-mechanical works
in the building, design standards, technical specification and standard quality
control/assurance procedure for electro mechanical works in different components
of building. Higher qualification and experience shall be an added advantage.
Upper age limit shall be 45 years.
2.0 Material Assets/ Equipments
Any TPIM agency must have following material assets or equipments at its
disposal. The assets may be self owned for a may be outsourced as and when
required. The list is only indicative.
Indicative List of Equipments
1. Survey Instruments including Total Station.

2. Equipment for condition survey on road and bridges.
31
3. Sieves of all sizes i/c Sieve Shaker and Balances of required capacity.
4. Cube strength testing machine.
5. Core Cutting Machine.
6. Equipment for Cement Testing.
7. USPV (Ultra Sonic Pulse Velocity) Meter.
8. Moister Meter.
9. Hammer of all sizes required to be used in building work.
10. Rebound Hammer.
11. Leak Detection Equipments.
12. Other miscellaneous equipments such as Screw Driver, Plumb-bob. Ovens,
Slump Cone, Graduated Measuring Cylinders of required capacity, Gauge
Tape Vernier Calliper, Magnifying Glass, Sprit Level, Vibration Table, Dial
Gauge etc.
13. Project Specific instrument, if required.
32
ANNEXURE- C
RFP for Appointment of Third Party Inspection and

Monitoring Agencies for projects (TPIMA)
Basic Services to Urban Poor (BSUP) and Integrated Slum and

Housing Development programme (IHSDP)
33
S.No Topic Page
1 Background 3
2 Need for TPIM 4
3 Scope of Services 5
4 Time Frame 8
5 Deliverables 8
6 Conflict of Interest 10
7 Mechanism 110
8 Bids – Submission and Evaluation 11
9 Proposal – Content and Evaluation 11
APPENDICES
1 Technical Bid Format 14-25
2 Financial Bid Format 26-27
3 Model Contract 28-57
4 Checklists for Quality Control 58-65
34
1. Background :
Jawaharlal Nehru National Urban renewal Mission (JNNURM) aims at reform-

driven integrated and planned development of cities/towns with efficiency in
urban infrastructure and service delivery mechanisms, provision of basic
services including improved housing to urban poor, community participation
and accountability of Urban Local Bodies (ULBs) and Parastatal agencies
towards citizens. Its two components, Basic Services to the Urban Poor
(BSUP) and Integrated Housing and Slum Development Programme (IHSDP)
focus on improving the living conditions of the slum population. These
projects are aimed at integrated development of slums for providing shelter,
basic services and other related civic amenities to the urban poor. Both sub-
missions have a strong Housing component.
Mission Directorate in the Ministry of Housing & Urban Poverty

Alleviation (MoHUPA) has evolved a state level mechanism for Third Party
Inspection and Monitoring of projects sanctioned under JNNURM. This
process of inspection and monitoring will keep track of physical & financial
progress of projects throughout the project life cycle
The purpose of this model RFP is to
• Enable the State Level Nodal Agencies (SLNA) to appoint Third Party
Inspection and Monitoring Agencies (TPIMA) for review and
monitoring of all JNNURM projects implemented by Urban Local
Bodies (ULBs), parastatals and other state agencies
• Bring standardization and consistency in the process, functioning and

scope of activities of external Third Party Monitoring Agencies engaged
for monitoring of JNNURM projects.
• Provide a structured report on the projects under JNNURM
35
2. Need for Third Party Inspection & Monitoring (TPIM) :
The Mission Directorate, MoHUPA is currently implementing a web enabled

Management Information System (MIS) for JNNURM Project Tracking and
Integrated Urban Poverty Monitoring System (IPOMS) The system is designed
to capture physical & financial progress of JNNURM projects. The information
is critical for release of subsequent installments for the projects. The
information provided by MIS can be cross verified with independent reports
from TPIMA to identify the constraints and issues in the project
implementation and enable a corrective action if necessary. TPIM would enable
achievement of
• Better Project Quality
• Cost Control
• Time Control
• Improved Planning & Budgeting
• Control over Fund Flow & Utilization
• Measuring Project Outputs
• Measuring Impact of JNNURM
JNNURM projects are approved by Central sanctioning & Monitoring

Committee at the Centre after Detailed Project Reports (DPRs) prepared by
ULBs are approved by State Level Steering Committee (SLSC) and appraised
by specialist agencies of the Central Government. At each stage , there may be
suggestions and recommendations and TPIM would ensure that these points
are incorporated in the implementation of the projects. TPIM would ensure
periodic feedback to all key stakeholders.
36
It is, therefore, imperative that each projects is covered by TPIM and periodic
feedback is given to all stakeholders at ULB/Town/City, State & Central level.
3. Scope of Services and Deliverables

The TPIM agency would undertake monitoring works pertaining to:
• Examination of project documentation with respect to sanctioned

covenants
• Report on targeted beneficiaries of the scheme (whether socio economic

surveys and biometric identification done, stake holders consultation,
process etc.)
• Review of Land requirement/ availability & other clearances to begin

construction
• Examination of bid documentation & bid process
• Review of Project Implementation Plan and procurement process
• Review of Site preparation
• Review of Project Management Mechanisms/ Structures (eg. PERT/

CPM Charts)
• Review of probability of Cost & Time overruns during pre-construction

stage
• Report on targeted beneficiaries of the scheme (whether socio-economic

surveys and biometric identification done, stake holder
consultation/process etc.
37
• Report on compliance to statutory requirements
• Report on safety and Health aspects
• Report on convergence of scheme with education, health and social

security
• Report on Beneficiary participation in the project
• Report on Physical Progress of the project
• Report on Financial progress & fund utilization
• Report on Quality Assurance systems and Project quality- as per

Checklist for Quality Control
• Report on Social Infrastructure and aesthetics
• Report on variations with respect to sanctioned covenants
• Report on cost variations and time overruns
• Report on remedial measures to improve physical & financial progress

and quality of the project
• Report on progress of resettlement and rehabilitation, if any
• Report on court cases/ Litigation
• Report on Assets created
• Reports on completion of projects
38
• Requirement of Operation & maintenance (O&M)
• System & Structure of O&M
• Capacity of staff of ULB
• Training requirements of staff
• Report on functionality & usage
• Report on O&M of assets created including common amenities
• Report on social and environment impact analysis
• Report on user/Beneficiary satisfaction
• Report on capacity created
• Report on overall performance and sustainability of the assets created
4. Time Frame
Services for TPIMA would be for entire life cycle of the projects and ideally
TPIMA should be in place in the pre-construction stage and would function till
one year from the filing of project completion report and give a final report on
the overall performance of the project.
S.No Nature of Review Frequency of Reports
1 Pre-Construction Once
2 Construction As per need
3 Commissioning & Trial runs Once
4 Post Construction Quarterly
39
5. Deliverables
TPIM Agency will undertake:
i. Ensuring all project documents, including outcomes, outputs,

specifications, estimates of quantities, work packages, project
implementation plan - including milestones, periodic progress indicators,
oversights etc., on-site management systems, such as rerouting of
transient services, temporary connections, worker accommodation,
labour insurance, procurement & storage of materials, inventory
management; delivery, hand-over, exit and financial closure plans are in
place
ii. Site visits will be organized at different stages as indicated by the

implementing agencies as ‘milestones’ in their work plan, which may
consist of intermediate stages of development of work or contracting
packages. Indicative milestones, such as foundations, superstructure,
fenestration, services, finishes and commissioning may be taken as
comparatives from the assessment side to help translate progress reports
b. Filing and uploading of all inspection reports in the prescribed online

monitoring system of the Mission Directorate as well as by sending reports
to SLNA and Mission Directorate. The reports would be sent at a periodic
interval as prescribed in Para-4
c. Capture, wherever possible, moderated, and structured perceptions of the

beneficiaries on various aspects of project implementation including
communicating project rationale, strategy, outcomes, results, rights and
responsibilities of all stakeholders;
40
f. To report the progress with respect to implementation as per the

appropriate stage of the project under development;
An appointed TPIM agency would essentially report in the following structure:
(i) Baselines of the project, including entire process trail – which would ensure
that all necessary processes of clearance, approvals - administrative,
technical and financial sanctions are in place. At the desk review report
generated at the initiation milestone, this section of the report would
document the process flows and benchmarks that are adopted by the
concerned level of implementation.
(ii) Outcomes of the project (at initiation milestone)/ the specific milestones –
expected state of physical and financial progress.
(iii) Observed physical and financial progress including execution process – this
will require to be done from two ends (i) supply end, i.e. SLNA and (ii) level
of implementing agency
(iv) Compliance and exception reports in process trail, technical and qualitative
standards, financial propriety and integrity. In case of any processes being
certified, the monitoring report must clearly mention this in case of the
concerned implementing agency to the party to be reported to, i.e. Project
Implementation Agency, SLNA and Mission Directorate.
(v) Recommendations as to how to reduce exceptions, including if milestones

need to be re-phased, or any process that may need to be streamlined.
(vi) Follow-up action of the report, which would be ascertained in the next
report.
41
6. Conflict of Interest
Conflict of interest for a TPIMA is defined as:

- Any agency involved as a consultant in project preparation,
supervision or implementation work in any of the JNNURM projects
applying for TPIMA is a conflict of interest in the particular
project/City/State (as the case may be)
- The team members of TPIMA should not have been employed (as an
employee) by any City or State level government agency in the 5 years
preceding this contract in the particular State.
- Any agency black listed or debarred would not be eligible for
appointment of TPIMA.
7. Mechanism
SLNA shall communicate clear directions and guidance to ULBs and

Implementing Agencies for extension of cooperation, sharing of information
and all necessary assistance to TPIM Agencies. Mission Directorate will have
close coordination with SLNA on this aspect
8. Bid – Submission and Evaluation
Separate Technical and Financial bids should be submitted to SLNA. A pre-bid

conference should be held by SLNA to provide clarifications. SLNA reserves
the right to accept or reject any bid. Only valid technical and financial bids are
eligible. The technical bids are to be evaluated as per criteria stipulated in Para
2.4 of Technical Bid format and financial bids will be opened only for those
42
Agencies which qualify the benchmark set for technical bids. Weightage of 60:
40 would be given for Technical and Financial Bids.
9. Proposals – Content and Evaluation
The technical proposal will comprise profile, credentials and experience of the
firm, the proposed team and their detailed CVs, methodology and tasks
assigned. Expression of Interest floated by the Government of India in this
respect would be a guidance in this respect.
Financial proposal should mention fees for desk review and per site visit in the
prescribed Financial Bid format. All applicable taxes should be indicated
separately.
Evaluation of proposals shall be carried in two stages. Technical bid will be
evaluated first and financial bid will be opened only for Agencies qualifying the
technical benchmark. The maximum charges as stipulated in Toolkit for
TPIMA will be applicable. In case lower rates are obtained through RFPs, the
same will apply as terms of payment
****
43
APPENDICES
44
Technical Bid Format
45
Technical Bid for TPIM
1. Preparation of Technical Bid
1.1 The bid as well as all related correspondence exchanged by the Consultants
and the Employer, shall be written in English language, unless specified
otherwise.
1.2 In preparing their bid, Consultants are expected to examine in detail the
documents comprising the RFP. Material deficiencies in providing the information
requested may result in rejection of a bid.
1.3 While preparing the Technical bid, Consultants must give particular attention
to the following:
(a) If a Consultant considers that it may enhance its expertise for the
Assignment/job by associating with other Consultants in sub-consultancy, it may
associate, however the details may be provided at the time of bidding.
(b) The estimated number of Professional staff-months for the Assignment/job is

as
shown in the RFP. However, the Bid shall be based on the number of
Professional staff-months or budget estimated by the Consultants. While making
the Bid, the consultant must ensure that he proposes the minimum number and
type of experts as sought by the Employer, failing which the proposal shall be
considered as non-responsive.
(c) Alternative professional staff shall not be proposed, and only one curriculum
vita (CV) may be submitted for each position mentioned. Depending on the
nature of the Assignment/job, Consultants are required to submit a Technical Bid
using the attached Standard Forms. Submission of the wrong type of Technical
Proposal will result in the Proposal being deemed non-responsive. Form Tech – I is
a sample letter of which is to be submitted alongwith the technical bid. The
Technical bid shall not include any financial information. A Technical bid
containing financial information may be declared non responsive.
2 Procedure for Detailed Evaluation of Technical Bid
2.1 Being primarily technical work, final evaluation of the bids will be done on
Combined Quality cum Cost based System wherein Technical Bid will be given
a weightage of 60 % and financial bid will be given a weightage of 40%.
2.2 Bids securing 60% and above marks in technical evaluation will only be
considered for opening of Financial Bids. The Bids with the lowest cost may be
46
given a financial score of 100 and the other bids given financial score that are
inversely proportionate to their prices.
2.3 The total score, both technical and financial, shall be obtained by weighing
the Technical and Financial scores and adding them up. On the basis of the
combined weighted score for Technical and Financial, the consultant shall be
ranked in terms of the total score obtained. The bid obtaining the highest total
combined score in evaluation of quality and cost will be ranked as H-1 followed
by the bids securing lesser marks as H-2, H-3 etc. The bid securing the highest
combined marks and ranked H-1 shall be recommended for award of contract.
The bids will be ranked in terms of total points scored.
2.4 Criteria, sub-criteria and point system for evaluation to be followed

under this procedure is as under:
i) Specific experience of the consultant firm relevant to the assignment /

job
(30 marks)
ii) Adequacy of the proposed methodology and work plan in response to

the terms of reference. (30 marks)
Sub-criteria:
a) Technical approach & methodology (20 marks)
b) Organisation & staffing (10 marks)
iii) Key professional staff: Qualification & competency for the assignment /
job. (40 marks)
Qualifications and competency of each of the key professionals will be evaluated
separately.
The marks for key professionals will be further divided as under:
a) Team Leader (12 marks)
b) Other key professionals (28 marks in total & equal score assigned to each
professional staff proposed) (min. number of key professionals may be specified
depending on the size of the project)
For evaluation of each of the key professionals the following sub-criteria can be
followed:
a) Educational qualifications (20%)
b) Adequacy for the assignment / job (80%)
(Experience in carrying out similar assignment/job)
The formats of the Technical Bid to be submitted are:
47
Form Tech 1: Letter of Proposal submission
Form Tech 2 : Consultant’s organization & experience
Form Tech 3 : Approach & methodology
Form Tech 4 : Team composition
Form Tech 5 : Curriculum vitae
Form Tech 6 : Information regarding any conflicting activities and declaration
thereof.
48
FORM TECH-1
LETTER OF PROPOSAL SUBMISSION

[Location, Date]
To:
[Name and address of Employer]
Dear Sirs:
We, the undersigned, offer to provide the consulting Assignment/job for

[Insert title of Assignment/job] in accordance with your Request for Proposal
dated [Insert Date] and our Proposal. We are hereby submitting our Proposal,
which includes this Technical Proposal, and a Financial Proposal sealed under a
separate envelope and requisite EMD and bid processing fees.
We are submitting our Proposal in association with: [Insert a list with full
name and address of each associated Consultant]
We hereby declare that all the information and statements made in this
Proposal are true and accept that any misinterpretation contained in it may lead
to our disqualification.
If negotiations are held during the period of validity of the Proposal, we

undertake to negotiate on the basis of the proposed staff. Our Proposal is binding
upon us and subject to the modifications resulting from Contract negotiations.
We understand you are not bound to accept any Proposal you receive.
We remain,
Yours sincerely,
Authorized Signature [In full and initials]:
Name and Title of Signatory:
Name of Firm:
Address:
49
FORM TECH-2
TPIMA’S ORGANIZATION AND EXPERIENCE
A - Consultant’s Organization
[Provide here a brief description of the background and organization of your

firm/entity and each associate for this Assignment/job. The brief description
should include ownership details, date and place of incorporation of the firm,
objectives of the firm etc. Also if the consultant has formed a consortium, details
of each of the member of the consortium, name of lead members etc shall be
provided]
B - Consultant’s Experience
[Using the format below, provide information on each Assignment/job for which
your firm, and each partner in the case of consortium or joint venture, was legally
contracted either individually as a corporate entity or as one of the major partners
within an association, for carrying out consulting Assignment/job similar to the
ones requested under this Assignment/job (If possible, the employer shall specify
exact assignment / job for which experience details may be submitted). Incase of
consortium, association of consultant, the consultant must furnish the following
information for each of the consortium member separately]
1. Firm’s name:
1 Assignment/job name:
1.1 Description of Project
1.2 Approx. value of the contract (in Rupees):
1.3 Country:
1.4 Location within country:
1.5 Duration of Assignment/job (months) :
1.6 Name of Employer:
1.7 Address:
1.8 Total No of staff-months of the Assignment/job:
1.9 Approx. value of the Assignment/job provided by

your firm under the contract (in Rupees):
50
1.10 Start date (month/year):
1.11 Completion date (month/year):
1.12 Name of associated Consultants, if any:
1.13 No of professional staff-months provided by

associated Consultants:
1.14 Name of senior professional staff of your firm

involved and functions performed.
1.15 Description of actual Assignment/job provided

by your staff within the Assignment/job:
Note: Please provide documentary evidence from the client i.e copy of work
order, contract for each of above mentioned assignment, completion certificate.
The experience shall not be considered for evaluation if such requisite support
documents are not provided with the proposal.
Separate sheets may be used for number of projects / assignments.
In case other consultants are proposed to be associated, their details may also
be provided in the above format.
51
FORM TECH-3
DESCRIPTION OF APPROACH, METHODOLOGY

AND WORK PLAN FOR PERFORMING THE
ASSIGNMENT/JOB
[Technical approach, methodology and work plan are key components of the
Technical Proposal. You are suggested to present your Technical Proposal
divided into the following three chapters:
a) Technical Approach and Methodology,

b) Work Plan, and
c) Organization and Staffing,
a) Technical Approach and Methodology. In this chapter you should explain your
understanding of the objectives of the Assignment/job, approach to the
Assignment/job, methodology for carrying out the activities and obtaining the
expected output, and the degree of detail of such output. You should highlight the
problems being addressed and their importance, and explain the technical
approach you would adopt to address them. You should also explain the
methodologies you propose to adopt and highlight the compatibility of those
methodologies with the proposed approach.
b) Work Plan. The consultant should propose and justify the main activities of the
Assignment/job, their content and duration, phasing and interrelations,
milestones (including interim approvals by the Employer), and delivery dates of
the reports. The proposed work plan should be consistent with the technical
approach and methodology, showing understanding of the TOR and ability to
translate them into a feasible working plan. A list of the final documents, including
reports, drawings, and tables to be delivered as final output, should be included
here. The work plan should be consistent with the Work Schedule of Form
TECH-8.
c) Organization and Staffing. The consultant should propose and justify the
structure and composition of your team. You should list the main disciplines of
the Assignment/job, the key expert responsible, and proposed technical and
support staff.]
52
FORM TECH-4
TEAM COMPOSITION AND TASK ASSIGNMENT/JOBS
Professional Staff
Sr. No. Name of Name of Area of Expertise Position /

Staff Firm Task assigned
for
this job
53
FORM TECH-5
CURRICULUM VITAE (CV) FOR PROPOSED

PROFESSIONAL STAFF
1. Proposed Position:
[For each position of key professional separate form Tech-6 will be prepared]:
2. Name of Firm:
[Insert name of firm proposing the staff]:
3. Name of Staff:
[Insert full name]:
4. Date of Birth:
5. Nationality:
6. Education:
[Indicate college/university and other specialized education of staff member,
giving names of institutions, degrees obtained, and dates of obtainment]:
7. Membership of Professional Associations:
8. Other Training:
9. Countries of Work Experience:

[List countries where staff has worked in the last ten years]:
10. Languages [For each language indicate proficiency: good, fair, or poor in
speaking,
reading, and writing]:
11. Employment Record:

[Starting with present position, list in reverse order every employment held by
staff member since graduation, giving for each employment (see format here
below): dates of employment, name of employing organization, positions
held.]:
From [Year]: To Year]:
Employer:
Positions held:
54
12. Detailed Tasks Assigned
[List all tasks to be performed under this Assignment/job]
13. Work Undertaken that Best Illustrates Capability to Handle the Tasks
Assigned [Among the Assignment/jobs in which the staff has been involved,
indicate the following information for those Assignment/jobs that best illustrate
staff capability to handle the tasks listed under point 12.]
Name of Assignment/job or project:

Year:
Location:
Employer:
Main project features:
Positions held:
Activities performed:
14. Certification:
I, the undersigned, certify that to the best of my knowledge and belief, this CV
correctly describes myself, my qualifications, and my experience. I understand
that any willful misstatement described herein may lead to my disqualification or
dismissal, if engaged.
Date: [Signature of staff member or authorized

representative of the staff]
Place:
[Full name of authorized representative]:
55
FORM TECH-6
INFORMATION REGARDING ANY CONFLICTING ACTIVITIES AND

DECLARATION THEREOF
Are there any activities carried out by your firm or group company or any member
of the consortium which are of conflicting nature as mentioned in para 5 of
section 2.
If yes, please furnish details of any such activities.
If no, please certify,
We hereby declare that our firm, our associate / group firm or any of the member
of the consortium are not indulged in any such activities which can be termed as
the conflicting activities under para 5 of the section 2.
We also acknowledge that in case of misrepresentation of the information, our

proposals / contract shall be rejected / terminated by the Employer which shall be
binding on us.
Authorized Signature [In full and initials]:

Name and Title of Signatory:
Name of Firm:
Address:
56
Financial Bid Format
57
Financial Bid for BSUP / IHSDP Project
(per project)
Project:---------------
Desk review of all project documents Rs. --------------/- (Rupees in words)
On-site visits* Rs. ---------------- (Rupees in words
(Maximum 14 visits during a project Only) (per visit)
implementation life-cycle for a BSUP project)

(Maximum 12 visits during a project
implementation life-cycle for a IHSDP
project)
Note: All applicable taxes should be indicated separately.

* (indicate separately for BSUP and IHSDP Projects)
58
Model Contract Form
59
STANDARD FORM OF CONTRACT
Consultants’ Services
Lump-Sum
60
Contents
I. Form of Contract 63-64

II. General Conditions of Contract 65-87
1. General Provisions 65-68
2. Commencement, Completion, Modification and Termination of
Contract 68-73
3. Obligations of the Consultant 73-75
4. Consultants’ Personnel and Sub-Consultants 75-77
5. Obligations of the Employer 77-78
6. Payments to the Consultant 78-80
7. Fairness and Good Faith 80
8. Settlement of Disputes 80-81
9. Liquidated Damages 81
10. Miscellaneous Provisions 82
III. Special Conditions of Contract 83-85
IV. Appendices 86-87

Appendix A – Description of Services
Appendix B - Reporting Requirements 87
Appendix C - Staffing Schedule 87
Appendix D - Cost Estimates in Foreign Currency 87
Appendix E - Duties of the Employer 87
61
MODEL CONTRACT FOR THIRD PARTY
INSPECTION & MONITORING AGENCY SERVICES
Between
[Name of the Client]
[------------------- STATE LEVEL NODAL AGENCY]
and
[Name of the Consultant]
Dated:
62
I. Form of Contract
(Text in brackets [ ] should be filled up appropriately; all notes should be deleted
in final text)
This CONTRACT (hereinafter called the “Contract”) is made the [date] day of the
[month],of [year], between the President of India acting through (designation),
Ministry of ----, Department of ------, Government of (name of the state), (office
address), [name of employer] (hereinafter called the “Employer”),of the First
Party and, [name of TPIM Agency] (hereinafter called the “Consultant”) of the
Second Party.
[Note: If the Consultant consist of more than one entity, the above should be
partially amended to read as follows: “…(hereinafter called the “Employer”) and,
on the other hand, a joint venture/consortium/association consisting of the
following entities, namely, lead consultant [name of lead Consultant] and [name
of Consultant/s] (hereinafter called the “Consultant”).
WHEREAS
(a) the Consultant, having represented to the “Employer” that he has the
required professional skills, personnel and technical resources, has offered to
provide in response to the Tender Notice dated____ issued by the Employer ;
(b) the “Employer” has accepted the offer of the Consultant to provide the
services on the terms and conditions set forth in this Contract.
NOW, THEREFORE, IT IS HEREBY AGREED between the parties as follows:
1. The following documents attached hereto shall be deemed to form an

integral part of this Contract:
(a) The General Conditions of Contract;

(b) The Special Conditions of Contract;
(c) The following Appendices:
Appendix A: Description of Services

Appendix B: Reporting Requirements
Appendix C: Staffing schedule
Appendix D: Cost Estimates
Appendix E: Duties of the “Employer”
Appendix F: Duties of the Consultant
2. The mutual rights and obligations of the “Employer” and the Consultant
shall be as set forth in the Contract, in particular:
63
(a) the Consultants shall carry out and complete the Services in accordance
with the provisions of the Contract; and
(b) the “Employer” shall make payments to the Consultant in accordance with
the provisions of the Contract.
IN WITNESS WHEREOF, the Parties hereto have caused this Contract to be

signed in their respective names as of the day and year first above written.
Signed by -----
In presence of 1. For and on behalf of the Governor
of (name of the state) [name of
“Employer”]
(Witnesses)
(i) [Authorized Representative]

(ii)
2. For and on behalf of [name of

Consultant]
In presence of
(Witnesses)
(i)
(ii) [Authorized Representative]
[Note: If the Consultant consists

of more than one entity, all these
entities should appear as
signatories, e.g., in the following
manner:]
3. For and on behalf of each of the

Members of the Consultant.
[name of member]
[Authorized representative]
4. [name of member]
[Authorized representative]
\
64
II. General Conditions of Contract
1. GENERAL PROVISIONS
1.1 Definitions Unless the context otherwise requires, the following terms
whenever used in this Contract have the following meanings:
(a) “Applicable Law” means the laws and any other instruments having the
force of law in India for the time being.
(b) “Consultant” means any private or public entity (name of the agency) that
will provide the Services to the “Employer” under the Contract.
(c) “Contract” means the Contract signed by the Parties and all the attached
documents listed in its Clause 1, that is this General Conditions (GC), the Special
Conditions (SC), and the Appendices.
(d) “Day” means calendar day.
(e) “Effective Date” means the date on which this Contract comes into force
and effect pursuant to Clause GC 2.1.
(f) “Foreign Currency” means any currency other than the currency of the
“Employer’s” country.
(g) “GC” means these General Conditions of Contract.
(h) “Government” means the Government of (name of the state)
(i) “Local Currency” means Indian Rupees.
(j) “Member” means any of the entities that make up the joint
venture/consortium/association; and “Members” means all these entities.
(k) “Party” means the “Employer” or the Consultant, as the case may be, and
“Parties” means both of them.
(l) “Personnel” means professionals and support staff provided by the

Consultants and assigned to perform the Services or any part thereof; “Foreign
Personnel” means such professionals and support staff who at the time of being
so provided had their domicile outside the Government’s country; “Local
Personnel” means such professionals and support staff who at the time of being
so provided had their domicile inside the Government’s country; and “Key
Personnel” means the Personnel referred to in Clause GC 4.2(a).
65
(m) “Reimbursable expenses” means all assignment-related costs [such as
travel, translation, report printing, secretarial expenses, subject to specified
maximum limits in the Contract].
(n) “SC” means the Special Conditions of Contract by which the GC may be
amended or supplemented.
(o) “Services” means the work to be performed by the Consultant pursuant to

this Contract, as described in Appendix A hereto.
(p) “Third Party” means any person or entity other than the “Employer”, or the
Consultant.
(q) “In writing” means communicated in written form with proof of receipt.
1.2 Relationship Between the Parties
Nothing contained herein shall be construed as establishing a relationship of

master and servant or of principal and agent as between the “Employer” and the
Consultant. The Consultant, subject to this Contract, has complete charge of
Personnel, performing the Services and shall be fully responsible for the Services
performed by them or on their behalf hereunder.
1.3 Law Governing Contract: This Contract, its meaning and interpretation,
and the relation between the Parties shall be governed by the applicable laws of
India.
1.4 Headings: The headings shall not limit, alter or affect the meaning of
this Contract.
1.5 Notices
1.5.1 Any notice, request or consent required or permitted to be given or made

pursuant to this
Contract shall be in writing. Any such notice, request or consent shall be deemed
to have been given or made when delivered in person to an authorized
representative of the Party to whom the communication is addressed, or when
sent by registered post to such Party at the address specified in the SC.
1.5.2 A Party may change its address for notice hereunder by giving the other
Party notice in writing of such change to the address specified in the SC.
1.6 Location: The Services shall be performed at such locations as are

specified in Appendix A hereto and, where the location of a particular task is not
so specified, at such locations, as the “Employer” may approve.
1.7 Authority of Lead Partner: In case the Consultant consists of a joint

venture/consortium/ association of more than one entity, the Members hereby
66
authorize the entity specified (Lead Consultant) in the SC to act on their behalf in
exercising all the Consultant’s rights and obligations towards the “Employer”
under this Contract, including without limitation the receiving of instructions and
payments from the “Employer”. However, each member or constituent of
Consortium of Consultant shall be jointly and severally liable for all obligations of
the Consultant under the Contract.
1.8 Authorized Representatives: Any action required or permitted to be taken,

and any document required or permitted to be executed under this Contract by
the “Employer” or the Consultant may be taken or executed by the officials
specified in the SC.
1.9 Taxes and Duties: The Consultant and Personnel shall be liable to pay
such direct and indirect taxes, duties, fees and other impositions levied under the
applicable laws of India.
1.10 Fraud and Corruption
1.10.1 Definitions: It is the Employer’s policy to require that Employers as

well as Consultants observe the highest standard of ethics during the execution
of the Contract. In pursuance of this policy, the Employer defines, for the purpose
of this provision, the terms set forth below as follows:
(i) “corrupt practice” means the offering, receiving, or soliciting, directly or

indirectly, of any thing of value to influence the action of a public official in the
selection process or in contract execution;
(ii) “fraudulent practice” means a misrepresentation or omission of facts in

order to influence a selection process or the execution of a contract;
(iii) “collusive practices” means a scheme or arrangement between two or

more consultants, with or without the knowledge of the Employer, designed to
establish prices at artificial, non competitive levels;
(iv) “coercive practices” means harming or threatening to harm, directly or

indirectly, persons or their property to influence their participation in a
procurement process, or affect the execution of a contract;
1.10.2 Measures to be taken by the Employer
(a) The Employer may terminate the contract if it determines at any time that
representatives of the consultant were engaged in corrupt, fraudulent, collusive
or coercive practices during the selection process or the execution of that
contract, without the consultant having taken timely and appropriate action
satisfactory to the Employer to remedy the situation;
67
(b) The Employer may also sanction against the Consultant, including
declaring the Consultant ineligible, either indefinitely or for a stated period of
time, to be awarded a contract if it at any time determines that the Consultant
has, directly or through an agent, engaged in corrupt, fraudulent, collusive or
coercive practices in competing for, or in executing, a Employer-financed
contract;
1.10.3 Commissions and Fees
At the time of execution of this Contract, the Consultants shall disclose any
commissions or fees that may have been paid or are agreed to be paid to agents,
representatives, or commission agents with respect to the selection process or
execution of the contract. The information disclosed must include at least the
name and address of the agent, representative, or commission agent, the
amount and currency, and the purpose of the commission or fee.
2. COMMENCEMENT, COMPLETION, MODIFICATION AND

TERMINATION OF CONTRACT
2.1 Effectiveness of Contract: This Contract shall come into force and effect on
the date (the “Effective Date”) of the “Employer”’s notice to the Consultant
instructing the Consultant to begin carrying out the Services. This notice shall
confirm that the conditions precedent and effectiveness conditions, if any, listed
in the SC have been met.
2.2 Termination of Contract for Failure to Become Effective: If this Contract

has not become effective within such time period after the date of the Contract
signed by the Parties as specified in the SC, either Party may, by not less than
twenty one (21) days written notice to the other Party, declare this Contract to be
null and void, and in the event of such a declaration by either Party, neither Party
shall have any claim against the other Party with respect hereto.
2.3 Commencement of Services: The Consultant shall begin carrying out the
Services not later than the number of days after the Effective Date specified in
the SC.
2.4 Expiration of Contract: Unless terminated earlier pursuant to Clause GC

2.9 hereof, this
Contract shall expire at the end of such time period after the Effective Date as
specified in the SC.
2.5 Entire Agreement: This Contract contains all covenants, stipulations and
provisions agreed by the Parties. No agent or representative of either Party has
authority to make, and the Parties shall not be bound by or be liable for, any
other statement, representation, promise or agreement not set forth herein.
68
2.6 Modifications or Variations: (a) Any modification or variation of the terms
and conditions of this Contract, including any modification or variation of the
scope of the Services, may only be made by written agreement between the
Parties. Pursuant to Clause GC 7.2 here of, however, each Party shall give due
consideration to any proposals for modification or variation made by the other
Party.
(b) In cases of substantial modifications or variations, the prior written consent

of the Employer is required.
2.7 Force Majeure
2.7.1 Definition (a) For the purposes of this Contract, “Force Majeure” means an
event
which is beyond the reasonable control of a Party, is not foreseeable, is
unavoidable and not brought about by or at the instance of the Party claiming to
be affected by such events and which has caused the non-performance or delay
in performance, and which makes a Party’s performance of its obligations
hereunder impossible or so impractical as reasonably to be considered
impossible in the circumstances, and includes, but is not limited to, war, riots,
civil disorder, earthquake, fire, explosion, storm, flood or other extreme adverse
weather conditions, strikes, lockouts or other industrial action (except where such
strikes, lockouts or other industrial action are within the power of the Party
invoking Force Majeure to prevent), confiscation or any other action by
Government agencies.
(b) Force Majeure shall not include (i) any event which is caused by the
negligence or intentional action of a Party or such party’s agents or employees,
nor (ii) any event which a diligent Party could reasonably have been expected
both to take into account at the time of the conclusion of this Contract, and avoid
or overcome in the carrying out of its obligations here under.
(c) Subject to clause 2.7.2, Force Majeure shall not include insufficiency of
funds or inability to make any payment required hereunder.
2.7.2 No Breach of Contract: The failure of a Party to fulfill any of its obligations
hereunder shall not be considered to be a breach of, or default under, this
Contract insofar as such inability arises from an event of Force Majeure, provided
that the Party affected by such an event has taken all reasonable precautions,
due care and reasonable alternative measures, all with the objective of carrying
out the terms and conditions of this Contract.
2.7.3 Measures to be Taken: (a) A Party affected by an event of Force Majeure

shall continue to perform its obligations under the Contract as far as is
reasonably practical, and shall take all reasonable measures to minimize the
consequences of any event of Force Majeure.
69
(b) A Party affected by an event of Force Majeure shall notify the other Party
of such event as soon as possible, and in any case not later than fourteen (14)
days following the occurrence of such event, providing evidence of the nature
and cause of such event, and shall similarly give written notice of the restoration
of normal conditions as soon as possible.
(c) Any period within which a Party shall, pursuant to this Contract, complete
any action or task, shall be extended for a period equal to the time during which
such Party was unable to perform such action as a result of Force Majeure.
(d) During the period of their inability to perform the Services as a result of an
event of Force Majeure, the Consultant, upon instructions by the “Employer”,
shall either: (i) demobilize,; or (ii) continue with the Services to the extent
possible, in which case the Consultant shall continue to be paid proportionately
and on prorata basis, under the terms of this Contract.
(e) In the case of disagreement between the Parties as to the existence or

extent of Force
Majeure, the matter shall be settled according to Clause GC 8.
2.8 Suspension: The “Employer” may, by written notice of suspension to the

Consultant, suspend all payments to the Consultant hereunder if the Consultant
fails to perform any of its obligations under this Contract, including the carrying
out of the Services, provided that such notice of suspension (i) shall specify the
nature of the failure, and (ii) shall allow the Consultant to remedy such failure, if
capable of being remedied, within a period not exceeding thirty (30) days after
receipt by the Consultant of such notice of suspension.
2.9 Termination
2.9.1.1 By the “Employer”: The “Employer” may terminate this Contract in case of
the occurrence of any of the events specified in paragraphs (a) through (h) of this
Clause GC 2.9.1.1.
(a) If the Consultant fails to remedy a failure in the performance of its

obligations hereunder, as specified in a notice of suspension pursuant to Clause
GC 2.8 hereinabove, within thirty (30) days of receipt of such notice of
suspension or within such further period as the “Employer” may have
subsequently approved in writing.
(b) If the Consultant becomes (or, if the Consultant consists of more than one
entity, if any of its Members becomes and which has substantial bearing on
providing Services under this contract) insolvent or go into liquidation or
receivership whether compulsory or voluntary.
(c) If the Consultant fails to comply with any final decision reached as a result
of arbitration proceedings pursuant to Clause GC 8 hereof.
70
(d) If the Consultant, in the judgment of the “Employer”, has engaged in
corrupt or fraudulent practices in competing for or in executing this Contract.
(e) If the Consultant submits to the “Employer” a false statement which has a
material effect on the rights, obligations or interests of the “Employer”.
(ee) If the Consultant places itself in position of conflict of interest or fails to

disclose promptly any conflict of interest to the Employer.
(f) If the consultant fails to provide the quality services as envisaged under
this Contract. The Consultancy Monitoring Committee (CMC) formulated to
monitor the progress of the assignment may make judgment regarding the poor
quality of services, the reasons for which shall be recorded in writing. The CMC
may decide to give one chance to the consultant to improve the quality of the
services.
(g) If, as the result of Force Majeure, the Consultant is unable to perform a
material portion of the Services for a period of not less than sixty (60) days.
(h) If the “Employer”, in its sole discretion and for any reason whatsoever,
decides to terminate this Contract.
2.9.1.2 In such an occurrence the “Employer” shall give a not less than thirty (30)
days’ written notice of termination to the Consultants, and sixty (60) days’ in case
of the event referred to in (h).
2.9.2 By the Consultant: The Consultant may terminate this Contract, by not less
than thirty (30) days’ written notice to the “Employer”, in case of the occurrence
of any of the events specified in paragraphs (a) through (d) of this Clause GC
2.9.2.
(a) If the “Employer” fails to pay any money due to the Consultant pursuant to
this Contract and not subject to dispute pursuant to Clause GC 8 hereof within
forty-five (45) days after receiving written notice from the Consultant that such
payment is overdue.
(b) If, as the result of Force Majeure, the Consultant is unable to perform a
material portion of the Services for a period of not less than sixty (60) days.
(c) If the “Employer” fails to comply with any final decision reached as a result
of arbitration pursuant to Clause GC 8 hereof.
(d) If the “Employer” is in material breach of its obligations pursuant to this

Contract and has not remedied the same within forty-five (45) days (or such
longer period as the Consultant may have subsequently approved in writing)
71
following the receipt by the “Employer” of the Consultant’s notice specifying such
breach.
2.9.3 Cessation of Rights and Obligations: Upon termination of this Contract

pursuant to Clauses GC 2.2 or GC 2.9 hereof, or upon expiration of this Contract
pursuant to Clause GC 2.4 hereof, all rights and obligations of the Parties
hereunder shall cease, except (i) such rights and obligations as may have
accrued on the date of termination or expiration, (ii) the obligation of
confidentiality set forth in Clause GC 3.3 hereof, (iii) the Consultant’s obligation to
permit inspection, copying and auditing of their accounts and records set forth in
Clause GC 3.6 hereof, and (iv) any right which a Party may have under the Law.
2.9.4 Cessation of Services: Upon termination of this Contract by notice of either

Party to the other pursuant to Clauses GC 2.9.1 or GC 2.9.2 hereof, the
Consultant shall, immediately upon dispatch or receipt of such notice, take all
necessary steps to bring the Services to a close in a prompt and orderly manner
and shall make every reasonable effort to keep expenditures for this purpose to a
minimum. With respect to documents prepared by the Consultant and equipment
and materials furnished by the “Employer”, the Consultant shall proceed as
provided, respectively, by Clauses GC 3.9 or GC 3.10 hereof.
2.9.5 Payment upon Termination: Upon termination of this Contract pursuant to

Clauses GC
2.9.1 or GC 2.9.2 hereof, the “Employer” shall make the following payments to
the Consultant:
(a) If the Contract is terminated pursuant to Clause 2.9.1 (g), (h) or 2.9.2,
remuneration pursuant to Clause GC 6.3(h) (i)hereof for Services satisfactorily
performed prior to the effective date of termination, and reimbursable
expenditures pursuant to Clause GC 6.3(h)(ii) hereof for expenditures actually
and reasonably incurred prior to the effective date of termination;
(b) If the agreement is terminated pursuant of Clause 2.9.1 (a) to (f), the
consultant shall not be entitled to receive any agreed payments upon termination
of the contract. However, the “Employer” may consider to make payment for the
part satisfactorily performed on the basis of Quantum Merint as assessed by it, if
such part is of economic utility to the Employer. Applicable Under such
circumstances, upon termination, the client may also impose liquidated damages
as per the provisions of Clause 9 of this agreement. The consultant will be
required to pay any such liquidated damages to client within 30 days of
termination date.
2.9.6 Disputes about Events of Termination: If either Party disputes whether an

event specified in paragraphs (a) through (g) of Clause GC 2.9.1 or in Clause GC
2.9.2 hereof has occurred, such Party may, within forty-five (30) days after
receipt of notice of termination from the other Party, refer the matter to Clause
72
GC 8 hereof, and this Contract shall not be terminated on account of such event
except in accordance with the terms of any resulting arbitral award.
3. OBLIGATIONS OF THE CONSULTANT
3.1 General
3.1.1 Standard of Performance: The Consultant shall perform the Services and
carry out their obligations hereunder with all due diligence, efficiency and
economy, in accordance with generally accepted professional standards and
practices, and shall observe sound management practices, and employ
appropriate technology and safe and effective equipment, machinery, materials
and methods. The Consultant shall always act, in respect of any matter relating
to this Contract or to the Services, as faithful adviser to the “Employer”, and shall
at all times support and safeguard the “Employer”’s legitimate interests in any
dealings with Third Parties.
3.2 Conflict of Interests: The Consultant shall hold the “Employer”’s interests
paramount, without any consideration for future work, and strictly avoid conflict of
interest with other assignments or their own corporate interests. If during the
period of this contract, a conflict of interest arises for any reasons, the Consultant
shall promptly disclose the same to the Employer and seek its instructions.
3.2.1 Consultant not to benefit from Commissions, Discounts, etc.: (a) The
payment of the
Consultant pursuant to Clause GC 6 hereof shall constitute the Consultant’s only
payment in connection with this Contract and, subject to Clause GC 3.2.2 hereof,
the Consultant shall not accept for its own benefit any trade commission,
discount or similar payment in connection with activities pursuant to this Contract
or in the discharge of its obligations hereunder, and the Consultant shall use its
best efforts to ensure that the Personnel and agents similarly shall not receive
any such additional payment. (b) Further more, if the Consultant, as part of the
Services, has the responsibility of advising the “Employer” on the procurement of
goods, works or services, the Consultant shall comply with the Employer’s
applicable procurement guidelines, and shall at all times exercise such
responsibility in the best interest of the “Employer”. Any discounts or
commissions obtained by the Consultant in the exercise of such procurement
responsibility shall be for the account of the “Employer”.
3.2.2 Consultant and Affiliates Not to Engage in Certain Activities: The

Consultant agrees that, during the term of this Contract and after its termination,
the Consultant and any entity affiliated with the Consultant, shall be disqualified
from providing goods, works or services (other than consulting services) resulting
from or directly related to the Consultant’s Services for the preparation or
implementation of the project.
73
3.2.3 Prohibition of Conflicting Activities: The Consultant shall not engage, and
shall cause their Personnel not to engage, either directly or indirectly, in any
business or professional activities that would conflict with the activities assigned
to them under this Contract.
3.3 Confidentiality: Except with the prior written consent of the “Employer”, the
Consultant and the Personnel shall not at any time communicate to any person
or entity any confidential information acquired in the course of the Services, nor
shall the Consultant and its Personnel make public the recommendations
formulated in the course of, or as a result of, the Services.
3.4 Insurance to be Taken out by the Consultant: The Consultant (i) shall take
out and maintain, insurance, at their own cost but on terms and conditions
approved by the “Employer”, insurance against the risks, and for the coverages
as required by the Employer, and (ii) at the “Employer”’s request, shall provide
evidence to the “Employer” showing that such insurance has been taken out and
maintained and that the current premiums therefore have been paid.
3.5 Accounting, Inspection and Auditing: The Consultant (i) shall keep
accurate and systematic accounts and records in respect of the Services
hereunder, in accordance with internationally accepted accounting principles and
in such form and detail as will clearly identify all relevant time changes and costs,
and the bases thereof, and (ii) shall periodically permit the “Employer” or its
designated representative and/or the Employer, and up to five years from
expiration or termination of this Contract, to inspect the same and make copies
thereof as well as to have them audited by auditors appointed by the “Employer”
or the Employer, if so required by the “Employer” or the Employer as the case
may be.
3.6 Consultant’s Actions Requiring “Employer”’s Prior Approval: The

Consultant shall obtain the “Employer”’s prior approval in writing before taking
any of the following actions:
(a) Any change or addition to the Personnel listed in Appendix C.
(b) Subcontracts: the Consultant may subcontract work relating to the

Services to an extent and with such experts and entities as may be approved in
advance by the “Employer”. Not with standing such approval, the Consultant
shall always retain full responsibility for the Services. In the event that any Sub-
Consultants are found by the “Employer” to be incompetent or incapable or
undesirable in discharging assigned duties, the “Employer” may request the
Consultant to provide a replacement, with qualifications and experience
acceptable to the “Employer”, or to resume the performance of the Services
itself.
3.7 Reporting Obligations: The Consultant shall submit to the “Employer” the
reports and documents specified in Appendix B hereto, in the form, in the
74
numbers and within the time periods set forth in the said Appendix. Final reports
shall be delivered in CD ROM in addition to the hard copies specified in said
Appendix.
3.8 Documents Prepared by the Consultant to be the Property of the

“Employer”: All plans, drawings, specifications, designs, reports, other
documents and software prepared by the Consultant for the “Employer” under
this Contract shall become and remain the property of the “Employer”, and the
Consultant shall, not later than upon termination or expiration of this Contract,
deliver all such documents to the “Employer”, together with a detailed inventory
thereof. The Consultant may retain a copy of such documents, but shall not use
anywhere, without taking permission, in writing, from the Employer and the
Employer reserves right to grant or deny any such request. If license agreements
are necessary or appropriate between the Consultant and third parties for
purposes of development of any such computer programs, the Consultant shall
obtain the “Employer”’s prior written approval to such agreements, and the
“Employer” shall be entitled at its discretion to require recovering the expenses
related to the development of the program(s) concerned.
3.9 Equipment, Vehicles and Materials Furnished by the “Employer”:

Equipment, vehicles and materials made available to the Consultant by the
“Employer”, or purchased by the Consultant wholly or partly with funds provided
by the “Employer”, shall be the property of the “Employer” and shall be marked
accordingly. Upon termination or expiration of this Contract, the Consultant shall
make available to the “Employer” an inventory of such equipment, vehicles and
materials and shall dispose of such equipment and materials in accordance with
the “Employer”’s instructions. While in possession of such equipment, vehicles
and materials, the Consultant, unless otherwise instructed by the “Employer” in
writing, shall insure them at the expense of the “Employer” in an amount equal to
their full replacement value.
Equipment and Materials Provided by the Consultants: Equipment or materials

brought into the Government’s country by the Consultant and the Personnel and
used either for the Project or personal use shall remain the property of the
Consultant or the Personnel concerned, as applicable.
4. CONSULTANTS’ PERSONNEL AND SUB-CONSULTANTS
4.1 General: The Consultant shall employ and provide such qualified and
experienced Personnel and Sub-Consultants as are required to carry out the
Services.
4.2 Description of Personnel: (a) The title, agreed job description, minimum
qualification and estimated period of engagement in the carrying out of the
75
Services of each of the Consultant’s Key Personnel are as per the consultant’s
proposal and are described in Appendix C. If any of the Key Personnel has
already been approved by the “Employer”, his/her name is listed as well.
(b) If required to comply with the provisions of Clause GC 3.1.1 hereof,

adjustments with respect to the estimated periods of engagement of Key
Personnel set forth in Appendix C may be
made by the Consultant by written notice to the “Employer”, provided (i) that such
adjustments shall not alter the originally estimated period of engagement of any
individual by more than 10% or one week, whichever is larger, and (ii) that the
aggregate of such adjustments shall not cause payments under this Contract to
exceed the ceilings set forth in Clause GC 6.1(b) of this Contract. Any other such
adjustments shall only be made with the “Employer”’s written approval.
(c) If additional work is required beyond the scope of the Services specified in
Appendix A, the estimated periods of engagement of Key Personnel set forth in
Appendix C may be increased by agreement in writing between the “Employer”
and the Consultant. In case where payments under this Contract exceed the
ceilings set forth in Clause GC 6.1(b) of this Contract, this will be explicitly
mentioned in the agreement.
4.3 Approval of Personnel: The Key Personnel and Sub-Consultants listed by

title as well as by name in Appendix C are hereby approved by the “Employer”. In
respect of other Personnel which the Consultant proposes to use in the carrying
out of the Services, the Consultant shall submit to the “Employer” for review and
approval a copy of their Curricula Vitae (CVs). If the “Employer” does not object
in writing (stating the reasons for the objection) within twenty-one (21) days from
the date of receipt of such CVs, such Personnel shall be deemed to have been
approved by the “Employer”.
4.4 Removal and/or Replacement of Personnel: (a) Except as the “Employer”

may otherwise agree, no changes shall be made in the Personnel. If, for any
reason beyond the reasonable control of the Consultant, such as retirement,
death, medical incapacity, among others, it becomes necessary to replace any of
the Personnel, the Consultant shall forthwith provide as a replacement a person
of equivalent or better qualifications.
(b) If the “Employer” (i) finds that any of the Personnel has committed serious
misconduct or has been charged with having committed a criminal action, or (ii)
has reasonable cause to be dissatisfied with the performance of any of the
Personnel, then the Consultant shall, at the “Employer”’s written request
specifying the grounds therefore, forthwith provide as a replacement a person
with qualifications and experience acceptable to the “Employer”.
(c) Any of the Personnel provided as a replacement under Clauses (a) and
(b) above, as well as any reimbursable expenditures (including expenditures due
to the number of eligible dependents) the Consultants may wish to claim as a
76
result of such replacement, shall be subject to the prior written approval by the
“Employer”. The rate of remuneration applicable to a replacement person will be
the rate of remuneration paid to the replacement person. Also (i) the Consultant
shall bear all additional travel and other costs arising out of or incidental to any
removal and/or replacement, and (ii) the remuneration to be paid for any of the
Personnel provided as a replacement shall not exceed the remuneration which
would have been payable to the Personnel replaced.
4.5 Resident Project Manager : If required by the SC, the Consultant shall
ensure that at all times during the Consultant’s performance of the Services a
resident project manager, acceptable to the “Employer”, shall take charge of the
performance of such Services.
5. OBLIGATIONS OF THE “EMPLOYER”
5.1 Assistance and Exemptions: Unless otherwise specified in the SC, the
“Employer” shall use its best efforts to ensure that the Government shall:
(a) Provide the Consultant and Personnel with work permits and such other
documents as shall be necessary to enable the Consultant or Personnel to
perform the Services.
(b) Issue to officials, agents and representatives of the Government all such
instructions as may be necessary or appropriate for the prompt and effective
implementation of the Services.
5.2 Change in the Applicable Law Related to Taxes and Duties: If, after the date
of this Contract, there is any change in the Applicable Laws of India with respect
to taxes and duties, which are directly payable by the consultant for providing the
services i.e. service tax or any such applicable tax from time to time, which
increases or decreases the cost incurred by the Consultant in performing the
Services, then the remuneration and reimbursable expenses otherwise payable
to the Consultant under this Contract shall be increased or decreased
accordingly by agreement between the Parties hereto, and corresponding
adjustments shall be made to the ceiling amounts specified in Clause GC 6.1(b).
5.3 Services, Facilities and Property of the “Employer”: (a) The “Employer”
shall make available to the Consultant and its Personnel, for the purposes of the
Services and free of any charge, the services, facilities and property described in
Appendix E at the times and in the manner specified in said Appendix E.
(b) In case that such services, facilities and property shall not be made
available to the Consultant as and when specified in Appendix E, the Parties
shall agree on any time extension that it may be appropriate to grant to the
Consultant for the performance of the Services.
77
5.4 Payment: In consideration of the Services performed by the Consultant
under this Contract, the “Employer” shall make to the Consultant such payments
and in such manner as is provided by Clause GC 6 of this Contract.
5.5 Counterpart Personnel: (a) If necessary, the “Employer” shall make

available to the Consultant free of charge such professional and support
counterpart personnel, to be nominated by the “Employer” with the Consultant’s
advice, if specified in Appendix E.
(b) Professional and support counterpart personnel, excluding “Employer”’s

liaison personnel, shall work under the exclusive direction of the Consultant. If
any member of the counterpart personnel fails to perform adequately any work
assigned to such member by the Consultant that is consistent with the position
occupied by such member, the Consultant may request the replacement of such
member, and the “Employer” shall not unreasonably refuse to act upon such
request.
6. PAYMENTS TO THE CONSULTANT
6.1 Total Cost of the Services (a) The total cost of the Services payable is set
forth in Appendix D as per the consultant’s proposal to the Employer and as
negotiated thereafter. (b) Except as may be otherwise agreed under Clause GC
2.6 and subject to Clause GC 6.1(c), payments under this Contract shall not
exceed the amount specified in Appendix-D. (c) Notwithstanding Clause GC
6.1(b) hereof, if pursuant to any of the Clauses GC 4.2 (c) or 5.2 hereof, the
Parties shall agree that additional payments shall be made to the Consultant in
order to cover any necessary additional expenditures not envisaged in the cost
estimates referred to in Clause GC 6.1(a) above, the ceiling or ceilings, as the
case may be, set forth in Clause GC 6.1(b) above shall be increased by the
amount or amounts, as the case may be, of any such additional payments.
6.2 Currency of Payment: All payments shall be made in Indian Rupees.[In

case the payment is to be made in the currency other that Indian Rupees, the
same shall be mentioned in stead of Indian Rupees]
6.3 Terms of Payment The payments in respect of the Services shall be made
as follows:
(a) The consultant shall submit the invoice for payment when the payment is
due as per the agreed terms. The payment shall be released as per the work
related milestones achieved and as per the specified percentage as per SC 13.
(b) Once a milestone is completed, the consultant shall submit the requisite
deliverables as specified in this Contract. The Employer shall release the
requisite payment upon acceptance of the deliverables. However, if the Employer
fails to intimate acceptance of the deliverables or its objections thereto, within 30
78
days of receipt of it, the Employer shall release the payment to the consultant
without further delay.
(c) Final Payment : The final payment as specified in SC 13 shall be made

only after the final report and a final statement, identified as such, shall have
been submitted by the Consultant and approved as satisfactory by the
“Employer”. The Services shall be deemed completed and finally accepted by the
“Employer” and the final report and final statement shall be deemed approved by
the “Employer” as satisfactory ninety (90) calendar days after receipt of the final
report and final statement by the “Employer” unless the “Employer”, within such
ninety (90) day period, gives written notice to the Consultant specifying in detail
deficiencies in the Services, the final report or final statement. The Consultant
shall thereupon promptly make any necessary corrections, and there after the
foregoing process shall be repeated. Any amount, which the “Employer” has paid
or caused to be paid in accordance with this Clause in excess of the amounts
actually payable in accordance with the provisions of this Contract, shall be
reimbursed by the Consultant to the “Employer” within thirty (30) days after
receipt by the Consultant of notice thereof. Any such claim by the “Employer” for
reimbursement must be made within twelve (12) calendar months after receipt by
the “Employer” of a final report and a final statement approved by the “Employer”
in accordance with the above.
(d) For the purpose of payment under Clause 6.3 (b) above, acceptance
means; acceptance of the deliverables by the Employer after submission by the
consultant and the consultant has made presentation to the CMC / Employer
(Mention this if presentation is required) with / without modifications to be
communicated in writing by the Employer to the consultant.
(e) If the deliverables submitted by the consultant are not acceptable to the
Employer / CMC, reasons for such non-acceptance should be recorded in
writing; the Employer shall not release the payment due to the consultant. This is
without prejudicing the Employer’s right to levy any liquidated damages under
clause 9. In such case, the payment will be released to the consultant only after it
re-submits the deliverable and which is accepted by the Employer.
(f) All payments under this Contract shall be made to the accounts of the
Consultant specified in the SC.
(g) With the exception of the final payment under (c) above, payments do not
constitute acceptance of the Services nor relieve the Consultant of any
obligations hereunder, unless the acceptance has been communicated by the
Employer to the consultant in writing and the consultant has made necessary
changes as per the comments / suggestions of the Employer communicated to
the Consultant.
(h) In case of early termination of the contract, the payment shall be made to
the consultant as mentioned here with: (i) Assessment should be made about
79
work done from the previous milestone, for which the payment is made or to be
made till the date of the termination. The consultant shall provide the details of
persons reasonably worked during this period with supporting documents. Based
on such details, the remuneration shall be calculated based on the man month
rate as specified. (ii) A reasonable assessment of the reimbursable and
miscellaneous expenses shall be made based on details furnished by the
consultant in this regard with supporting documents and based on the
assessment of the work done and the respective rates as provided. Wherever
such an assessment is difficult, the rates should be arrived at by calculating the
amount on pro-rata basis. The total amount payable shall be the amount
calculated as per (i) and (ii) above plus any applicable tax.
7. FAIRNESS AND GOOD FAITH
7.1 Good Faith: The Parties undertake to act in good faith with respect to each
other’s rights under this Contract and to adopt all reasonable measures to ensure
the realization of the objectives of this Contract.
7.2 Operation of the Contract: The Parties recognize that it is impractical in

this Contract to provide for every contingency which may arise during the life of
the Contract, and the Parties hereby agree that it is their intention that this
Contract shall operate fairly as between them, and without detriment to the
interest of either of them, and that, if during the term of this Contract either Party
believes that this Contract is operating unfairly, the Parties will use their best
efforts to agree on such action as may be necessary to remove the cause or
causes of such unfairness, but no failure to agree on any action pursuant to this
Clause shall give rise to a dispute subject to arbitration in accordance with
Clause GC 8 hereof.
8. SETTLEMENT OF DISPUTES
8.1 Amicable Settlement: Performance of the contract is governed by the

terms & conditions of the contract, in case of dispute arises between the parties
regarding any matter under the contract, either Party of the contract may send a
written Notice of Dispute to the other party. The Party receiving the Notice of
Dispute will consider the Notice and respond to it in writing within 30 days after
receipt. If that party fails to respond within 30 days, or the dispute cannot be
amicably settled within 60 days following the response of that party, clause GC
8.2 shall become applicable.
8.2 Arbitration: In the case of dispute arising upon or in relation to or in

connection with the contract between the Employer and the Consultant, which
has not been settled amicably, any party can refer the dispute for Arbitration
under (Indian) Arbitration and Conciliation Act, 1996. Such disputes shall be
referred to an Arbitral Tribunal consisting of 3 (three) arbitrators, one each to be
appointed by the Employer and the Consultant, the third arbitrator shall be
80
chosen by the two arbitrators so appointed by the parties and shall act as
Presiding Arbitrator. In case of failure of the two arbitrators, appointed by the
parties to reach a consensus regarding the appointment of the third arbitrator
within a period of 30 days from the date of appointment of the two arbitrators, the
Presiding arbitrator shall be appointed by the Secretary of the Ministry /
Department. The Arbitration and Conciliation Act, 1996 and any statutory
modification or re-enactment thereof, shall apply to these arbitration proceedings.
8.3. Arbitration proceedings shall be held in India at the place indicated in SC

and the language of the arbitration proceedings and that of all documents and
communications between the parties shall be English.
8.4 The decision of the majority of arbitrators shall be final and binding upon
both parties. The expenses of the arbitrators as determined by the arbitrators
shall be shared equally by the Employer and the Consultant. However, the
expenses incurred by each party in connection with the preparation, presentation
shall be borne by the party itself. All arbitration awards shall be in writing and
shall state the reasons for the award.
9. Liquidated Damages
9.1 The parties hereby agree that due to negligence of act of any party, if the
other party suffers losses, damages the quantification of which may be difficult,
and hence the amount specified here under shall be construed as reasonable
estimate of the damages and both the parties agree to pay such liquidated
damages, as defined hereunder as per the provisions of this Contract.
9.2 The amount of liquidated damages under this Contract shall not exceed
[ __] % of the total value of the contract as specified in Appendix D.
9.3 The liquidated damages shall be applicable under following

circumstances:
(a) If the deliverables are not submitted as per schedule as specified in SC

13, the Consultant shall be liable to pay 1% of the total cost of the services for
delay of each week or part thereof.
(b) If the deliverables are not acceptable to the Employer as mentioned in

Clause 6.3 (f), and defects are not rectified to the satisfaction of the Employer
within 30 days of the receipt of the notice, the Consultant shall be liable for
Liquidated Damages for an amount equal to [ ]% of total cost of the services for
every week or part thereof for the delay.
81
10. Miscellaneous provisions:
(i) “Nothing contained in this Contract shall be construed as establishing or
creating between the Parities, a relationship of master and servant or
principal and agent.
(ii) Any failure or delay on the part of any Party to exercise right or power
under this Contract shall not operate as waiver thereof.
(iii) The Contractor/Consultant shall notify the Employer/ the Government of

(name of the state) of any material change in their status, in particular,
where such change would impact on performance of obligations under this
Contract.
(iv) Each member/constituent of the Contractor/Consultant, in case of a

consortium, shall be jointly and severally liable to and responsible for all
obligations towards the Employer/Government for performance of
works/services including that of its
Associates/Sub Contractors under the Contract.
(v) The Contractor/Consultant shall at all times indemnify and keep

indemnified the Employer/Government of (name of the state) against all
claims/damages etc. for any infringement of any Intellectual Property
Rights (IPR) while providing its services under the Project.
(vi) The Contractor/Consultant shall at all times indemnify and keep

indemnified the Employer/Government of (name of the state) against any
claims in respect of any damages or compensation payable in
consequences of any accident or injury sustained or suffered by its (the
Contractor’s/Consultant’s) employees or agents or by any other third Party
resulting from or by any action, omission or operation conducted by or on
behalf of the Contractor/Consultant.
(vii) The Contractor/ Consultant shall at all times indemnify and keep
indemnified the Employer/Government of (name of the state) against any
and all claims by Employees, Workman, Contractors, sub-contractors,
suppliers, agent(s), employed engaged or otherwise working for the
Contractor, in respect of wages, salaries, remuneration, compensation or
the like.
(viii) All claims regarding indemnity shall survive the termination or expiry of the
Contract.
(ix) It is acknowledged and agreed by all Parties that there is no

representation of any type, implied or otherwise, of any absorption,
regularization, continued engagement or concession or preference for
employment of persons engaged by the (Contractor/Consultant) for any
engagement, service or employment in any capacity in any office or
establishment of the Government of (name of the state) or the Employer.
82
III. Special Conditions of Contract:
(Clauses in brackets { } are optional; all notes should be deleted in final text)
SC Clause Ref. of GC Clause Amendments of, and

supplements to, Clauses in the
General Conditions of Contract
1. 1.5 The addresses are:
1. “Employer” :
Attention :
Facsimile :
2. Consultant :
Attention :
Facsimile :
2. 1.7 {Lead Partner is [insert name of

member]}
Note: If the Consultant consists of a joint

venture/ consortium/ association of
more than one entity, the name of the
entity whose address is specified in
Clause SC 1.6 should be inserted here.
If the Consultant consists only of one
entity, this Clause SC 1.8 should be
deleted from the SC.
3. 1.8 The Authorized Representatives are:
For the “Employer”:
For the Consultant:
4. 2.1 {The effectiveness conditions are the

following:
[insert conditions]}
83
Note: List here any conditions of
effectiveness of the Contract e.g.,
approved of the Contract by the
Employer, “Employer”’s approval of
Consultant’s proposals for appointment
of specified key staff members,
effectiveness of Employer Loan, receipt
by Consultant of advance payment and
by “Employer” of advance payment
guarantee (see Clause SC 6.4(a)), etc.
If there are no effectiveness conditions,
delete this Clause SC 2.1 from the SC.
5. 2.2 The time period shall be [insert time

period, e.g.: four months].

period, e.g.: four months].

period, e.g.: twelve months].
8 4.5 {The person designated as resident

project manager in Appendix C shall
serve in that capacity, as specified in
Clause GC 4.5.}
Note: If there is no such manager,

delete this Clause SC 4.6.
9. {5.1} Note: List here any changes or additions

to Clause GC 5.1.
If there are no such changes or
additions, delete this Clause SC 5.1.
10. 6.1 (b) The ceiling in local currency is: [insert

amount and currency]
11. 6.3 Insert the payment terms
12. 8.3 The Arbitration proceedings shall take place in

(indicate name of the city) in India.
84
13. 9.3 Performance Guarantee
The Consultant shall furnish a Performance
Guarantee in the form of a Bank Guarantee
Savoring (name of the authority) for an amount
equal to {10%} of the total fee (exclusive of
taxes) with a validity period for the entire
duration of contract.
Binding signature of Employer Signed by

____________________________________________
(for and on behalf of the Governor of (name of the state)
Binding signature of Contractor Signed by

___________________________________________
(for and on behalf of _______________________ duly authorized vide

Resolution
No______________ dated ______________ of the Board of Directors of
_______________)
In the presence of
(Witnesses)
1.
2.
85
IV. Appendices for Model Contract
86
APPENDIX A – DESCRIPTION OF SERVICES
Note: This Appendix will include the final Terms of Reference worked out
by the “Employer” and the Consultants during technical negotiations, dates for
completion of various tasks, place of performance for different tasks/activities,
specific tasks/activities/outcome to be reviewed, tested and approved by
“Employer”, etc.
APPENDIX B - REPORTING REQUIREMENTS
Note: List format, frequency, and contents of reports; persons to receive

them; dates of submission; etc. If no reports are to be submitted, state here “Not
applicable.”
APPENDIX C – STAFFING SCHEDULE
(Include here the agreed (negotiated staffing schedule including the engagement
of sub-contractors, if any)
APPENDIX D – Total COST OF SERVICES IN
(Include here the rates quoted in the financial proposal or the negotiated rates,
whichever is applicable)
APPENDIX E - DUTIES OF THE “EMPLOYER”
(Include here the list of Services, facilities and property to be made available to
the Consultant by the “Employer”).
87
CHECKLIST FOR QUALITY
CONTROL
88
Checklist for Quality Control by Third party for Inspection and Monitoring
Agency (TPIMA) for projects under JNNURM
1.0 PARTICULARS OF PROJECT :

1.1 (a) Name of Project :
1.1 (b) Description of work :
1.2 (a) Name of Implementing Agency :
(b) Name of Agency/ Contractor
1.3 Scheduled date of commencement as ;

sanction in CSMC
Actual date of commencement
1.4 (a) Scheduled date of completion as :

sanctioned in CSMC
Expected date of completion
1.5
(a) Percentage progress at the time of :
inspection vis-à-vis expected as per
contract and reasons for delay, if any.
(b) Details of mile stones as per contract :

vis-à-vis their achievement
1.6 Inspecting Officer (TPIMA) :

(Name and Designation)
1.7 Officers (State Govt.) and :

representative of contractor present
during inspection
(Name and Designation)
89
1.8 Date of Inspection and number :
2.0 QUALITY CONTROL MEASURES :

2.1 (a) Whether Copy of contract document :
available at site
(b) Whether copy of specifications as per :

contract available at site
(c) Whether list of I.S.I. marked/ approved :

materials to be used is available at site
(d) Testing facilities to check conformance :

as per contract document
2.2 Is field laboratory existing and well :

equipped as per requirement of contract
document
2.3 Maintenance of Inspection Register by :

officials of State Govt.
2.4 Are Test Registers maintained in :

standard forms?
2.5 Is Cement Register maintained and :

checked at site
2.6 Is soil investigation done? (give brief :

details)
2.7 Suitability of water for construction :

(a) What is the source of water? :
(b) Has water been tested and approved by :

Engineer-in-Charge before construction
(c) Has water been tested subsequently as :

per requirement
2.8(a) Are all mandatory tests carried out at :

stipulated frequency?
(b) Are tests of materials being got done :

from accredited labs also, if yes details
of such labs.
(c) Comments on tests already done :
90
(d) Action Taken Report on previous report :
(e) Frequency of visit by TPIMA : As per site visit in contract
(f) Details of the samples/ testing done by : TPIMA to carry out minimum 10%
TPIMA random sampling and testing of all
mandatory tests for all the items from
NABL accredited labs as per
requirement of implementation.
2.9(a) Are materials approved by Engineer-in- :

Charge? If so, are samples available at
site
(b) Is cement/steel used in work got tested :

before use in work? (Test certificates
from companies)
2.10 Are sample units/items completed and :

approved by Engineer-in-Charge before
start of mass finishing work?
2.11 (a) Specific control on RCC work like :

centering/ shuttering/ proportioning with
boxes; mixing by full bag capacity
hopper fed mixer; control of slump;
placing/ compaction with vibrator.
(b) Is RMC being used in work, if yes, detail :

of control & Checks done at plant of site
2.12 Any other particular comments :
91
3.0 SITE INSPECTION:
Whether in Whether Inspected Comments
progress (Yes/ No)
(Yes/ No)
3.1 Building Work
a) Earth work
b) Concrete work
c) RCC work
d) Brick work
e) Stone work
f) Marble work
g) Wood work
h) Steel work
i) Flooring
j) Roofing
k) Finishing
l) Internal Services
3.2 Infrastructure
work
See annexure A
3.2 Checking of floor slope (especially in

bath, WC, kitchen, terrace & Balcony etc.)
3.3 Whether dampness/ leakages noticed?

If yes, state location and probable
reasons.
4.0 SITE INSPECTION OF WORKMANSHIP

ASPECTS
(Attach separate sheet, if required)
5.0 Any other observations:
92
Annexure-A
Infrastructure works to be checked by TPIMA
Note: Applicable components may be included in the report.

S.No. Component Sub- Whether Whether Comments
Component in Inspected
Progress (Yes/ No)
(Yes/ No)
1 Water Supply ELSR/ OHT
Pipeline
Pond
Strengthening
Pump Station
Pumpsets
Rain Water
Harvesting
Pits
Sump
Treatment
Plant
Tubewells
2 Sewerage Digestor
Effluent
Treatment
Chamber
Pipeline
STP
Septic Tank
3 Storm Water Drains
Drains
4 Roads & Culverts
Culverts
Jogging Track
Pavements
Plantation
Roads
Restoration
5 Street Lighting Lamp Posts
93
Supply Lines
Transformer
6 Solid Waste Dumping

Management Yards
Dustbin
Landfill
7 Common Stair case,
Spaces Lobby
8 Compound Retaining Wall
Wall
Compound
wall
9 Miscellaneous Any other
Social Infrastructure
S.No. Component Sub- Whether Whether Comments
Component in Inspected
Progress (Yes/ No)
(Yes/ No)
10 Community Community
Centres Centre
11 Site Site
Development Development
12 Informal Informal
Education Education
Centre Centre
13 Livelihood Livelihood
Centre Centre
14 Animal Pen Animal Pen
15 Rickshaw Rickshaw
Shed Shed
16 Informal Informal
Sector Market Sector Market
17 Primary Health Primary Health
Centre Centre
18 Anganwadi Anganwadi
19 Miscellaneous Any Other
Crematorium
Fire Fighting
arrangements
Lift Well etc
Old Age
Homes
94
Ration Shop
Transit
Tenaments
Community
Toilet
20 Development Parks
of parks
21 School School
Building Building
95

10toolkit For TPIMA

Uploaded by

Document Information

Original Description:

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

10toolkit For TPIMA

Uploaded by

Copyright:

Available Formats

Toolkit for Appointment of Third Party Inspection and

Monitoring Agencies for projects (TPIMA)

Basic Services to Urban Poor (BSUP) and Integrated Slum and

2. Scope of Services and Deliverables ...................................................5

3. Financial Support ...………………………………………….………..10

4. Appointment of TPIMA by State Level Nodal Agency (SLNA)……11

5. Roles and Responsibilities …………………………………………..13

Annexure - A List of Empanelled Agencies……….................................18

Annexure - B Criteria for Empanelment ...........................................21-32

Annexure- C Model RFP including the Technical Bid Format,

Mission Directorate in the Ministry of Housing & Urban Poverty

The purpose of toolkit is to

• Provide a structured report on the projects under JNNURM

1.1 Need for Third Party Inspection & Monitoring (TPIM) :

The Mission Directorate, MoHUPA is currently implementing a web enabled

• Better Project Quality

• Improved Planning & Budgeting

• Control over Fund Flow & Utilization

• Measuring Project Outputs

• Measuring Impact of JNNURM

JNNURM projects are approved by Central sanctioning & Monitoring

2. Scope of Services and Deliverables

The TPIM agency would undertake monitoring works pertaining to:

• Examination of project documentation with respect to sanctioned

• Report on targeted beneficiaries of the scheme (whether socio economic

• Review of Land requirement/ availability & other clearances to begin

• Examination of bid documentation & bid process

• Review of Project Implementation Plan and procurement process

• Review of Site preparation

• Review of Project Management Mechanisms/ Structures (e.g. PERT/

• Report on targeted beneficiaries of the scheme (whether socio-economic

• Report on compliance to statutory requirements

• Report on safety and Health aspects

• Report on convergence of scheme with education, health and social

• Report on Beneficiary participation in the project

• Report on Physical Progress of the project

• Report on Financial progress & fund utilization

• Report on Quality Assurance systems and Project quality

• Report on Social Infrastructure and aesthetics

• Report on variations with respect to sanctioned covenants

• Report on cost variations and time overruns

• Report on remedial measures to improve physical & financial progress

• Report on progress of resettlement and rehabilitation, if any

• Report on court cases/ Litigation

• Report on Assets created

• Reports on completion of projects

• Requirement of Operation & maintenance (O&M)

• Capacity of staff of ULB

• Training requirements of staff

d. Post construction Stage

• Report on functionality & usage

• Report on O&M of assets created including common amenities

• Report on social and environment impact analysis

• Report on user/Beneficiary satisfaction

• Report on capacity created

• Report on overall performance and sustainability of the assets created

In sum, the agency will undertake:

a. Desk review of documents and periodical site visits:

ii. Site visits will be organized at different stages as indicated by the

b. Filing and uploading of all inspection reports in the prescribed online

c. Capture, wherever possible, moderated, and structured perceptions of the

d. Estimate the degree of beneficiary buy-in as regards the project(s);